NISM 10A Investment Adviser Level 1 Notes
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Fiduciary Breach: Failing to act in client interest violates ethical norms.
SEBI Investor Guidelines: Protect investors through clear advisory rules.
Ethical Culture: Firms foster ethics through training and policies.
Client Suitability: Recommend products aligned with client risk and goals.
Regulatory Penalties: Ethical violations lead to fines or bans.
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NISM 10A NISM Investment Adviser Level 1
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