NISM 10A Investment Adviser Level 1 Notes
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Adviser Registration: Requires minimum qualifications, capital, and compliance.
PMLA Compliance: Mandates reporting suspicious transactions to FIU-India.
Companies Act: Governs corporate actions like dividends and share issues.
FEMA Regulations: Control cross-border investments and repatriation.
SEBI Enforcement: Issues orders to address regulatory breaches.
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NISM 10A NISM Investment Adviser Level 1
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