NISM 10A Investment Adviser Level 1 Notes
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Violation Consequences: Impact adviser reputation and business continuity.
Regulatory Oversight: Ensures market integrity and investor confidence.
Adviser Accountability: Liable for non-compliance with regulatory standards.
Client-Centric Advice: Mandated to prioritize client interests under SEBI rules.
Enforcement Actions: SEBI can suspend or cancel registrations for violations.
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NISM 10A NISM Investment Adviser Level 1
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