NISM 10A Investment Adviser Level 1 Notes
Page 164 Of 181
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SEBI Do’s and Don’ts: Guide advisers to act transparently and avoid misleading clients.
Audit Observations: Address annual audit findings to ensure compliance.
Global Best Practices: Include US and Australian standards for ethical conduct.
Client Interest: Advisers must place client needs at the forefront of advice.
Conflict of Interest: Avoid earning commissions that bias product recommendations.
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NISM 10A NISM Investment Adviser Level 1
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