NISM 10A Investment Adviser Level 1 Notes
Page 168 Of 181
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Regulatory Compliance: Ethical conduct aligns with SEBI regulations.
Client-Centric Approach: Prioritizes client goals over adviser profits.
Transparency in Fees: Disclose all fees to avoid hidden charges.
Best Interest Standard: Australian model mandates acting in client’s best interests.
Code of Ethics: US advisers maintain codes to ensure compliance.
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NISM 10A NISM Investment Adviser Level 1
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