NISM 10A Investment Adviser Level 1 Notes
Page 174 Of 181
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Investment Adviser Redress: Must display compliance officer details for grievance filing.
SCORES Platform: SEBI’s online system for registering investor complaints.
SCORES Limitations: Does not handle incomplete, vague, or non-regulated complaints.
Capital Market Redress: Involves escalating unresolved issues via SCORES or ODR portals.
Online Dispute Resolution (ODR): Facilitates quick resolution of market disputes.
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