NISM 10A Investment Adviser Level 1 Notes
Page 161 Of 181
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Compliance Records: Maintain records of advice, transactions, and audits.
Fraudulent Practices: Include front-running and market manipulation.
Intermediary Registration: Mandatory for brokers, depositories, and advisers.
PMLA Obligations: Include client due diligence and transaction monitoring.
SEBI Circulars: Provide detailed guidelines for compliance.
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NISM 10A NISM Investment Adviser Level 1
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