NISM 10A Investment Adviser Level 1 Notes
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Transparency: Disclose fees, risks, and product suitability to clients.
Ethical Standards: Go beyond legal requirements, incorporating moral values.
Client Trust: Built through honest and fair advisory practices.
Mis-Selling Prevention: Avoid recommending unsuitable products for higher commissions.
Fiduciary Duty: Legally binds advisers to act in clients’ best interests.
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NISM 10A NISM Investment Adviser Level 1
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