NISM 10A Investment Adviser Level 1 Notes
Page 160 Of 181
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SEBI Guidelines: Specify deposit requirements and scope for advisers.
Insider Trading Scope: Covers unpublished price-sensitive information misuse.
Adviser Fees: Earned from clients, not product providers, to avoid bias.
Regulatory Updates: Advisers must stay updated on SEBI circulars.
Client Agreements: Define scope and terms of advisory services.
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NISM 10A NISM Investment Adviser Level 1
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