NISM 10A Investment Adviser Level 1 Notes
Page 156 Of 181
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SCRA Scope: Defines derivatives and regulates stock exchange operations.
SEBI Objectives: Protect investors, promote market development, and ensure stability.
Fraud Prevention: Prohibits market manipulation and misleading disclosures.
Intermediary Duties: Include due diligence, transparency, and client protection.
Insider Trading Penalties: Fines or imprisonment for illegal trading activities.
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NISM 10A NISM Investment Adviser Level 1
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