NISM 10A Investment Adviser Level 1 Notes

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  • Grievance Definition: Expresses dissatisfaction with service or product deficiencies.
  • SCORES Process: Forwards complaints to entities for resolution with ATR.
  • Banking Ombudsman Scope: Covers issues like fees, card disputes, and loan refusals.
  • Insurance Complaint Grounds: Include claim repudiation, premium disputes, and delays.
  • NPS Resolution: CRA handles complaints, escalating to NPS Trust if unresolved.

NISM 10A NISM Investment Adviser Level 1

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