NISM 10A Investment Adviser Level 1 Notes
Page 166 Of 181
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SEBI Guidelines: Mandate ethical conduct and client-centric practices.
Audit Compliance: Address observations to maintain ethical standards.
US Guidelines: Require codes of ethics and pre-approval for certain transactions.
Australian Standards: Emphasize competence, honesty, and best interest principles.
Ethical Decision-Making: Involves weighing options to minimize ethical violations.
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NISM 10A NISM Investment Adviser Level 1
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