NISM 10A Investment Adviser Level 1 Notes
Page 158 Of 181
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Adviser Responsibilities: Prioritize client interests and maintain records.
Client Segregation: Non-individual advisers separate advisory and distribution services.
Compliance Officer: Monitors adherence to SEBI regulations.
KYC Norms: Mandatory for client onboarding and transaction processing.
Transaction Reporting: Advisers report client transactions to regulators.
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NISM 10A NISM Investment Adviser Level 1
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