NISM 10A Investment Adviser Level 1 Notes
Page 169 Of 181
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Violation Consequences: Ethical breaches lead to regulatory penalties and reputational damage.
Client Communication: Transparent updates build trust and ethical alignment.
Audit Corrections: Promptly address audit findings to uphold standards.
Global Practices: Adopt international benchmarks for ethical advisory.
Ethical Restraint: Avoid actions that prioritize profit over client welfare.
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NISM 10A NISM Investment Adviser Level 1
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