NISM 10A Investment Adviser Level 1 Notes
Page 43 Of 181
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Economic Indicators: GDP, inflation, and interest rates influence market performance.
Market Transparency: Mandatory disclosures ensure investors have access to critical information.
Broker Roles: Facilitate trading and provide market access to retail investors.
Depository Services: Enable dematerialized holding and transfer of securities.
Regulatory Penalties: Non-compliance with regulations leads to fines or bans.
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