NISM 10A Investment Adviser Level 1 Notes
Page 159 Of 181
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Investor Protection: SEBI ensures fair treatment and grievance redressal.
Regulatory Audits: Annual audits ensure compliance with SEBI rules.
Penalty Framework: Includes fines, suspensions, or bans for violations.
Adviser Conduct: Must avoid conflicts of interest and mis-selling.
PMLA Reporting: Suspicious transactions reported to Financial Intelligence Unit.
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NISM 10A NISM Investment Adviser Level 1
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