NISM 10A Investment Adviser Level 1 Notes
Page 173 Of 181
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Complaint Nature: Relevant complaints focus on service deficiencies or misinformation.
Internal Resolution: Complaints first addressed by the intermediary’s internal system.
Escalation Process: Unresolved complaints can be escalated to regulators or ombudsmen.
Action Taken Report (ATR): Tracks progress and resolution of complaints.
Resolution Timeline: Complaints must be resolved within stipulated periods.
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NISM 10A NISM Investment Adviser Level 1
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