NISM-Series IX: Merchant Banking Certification Exam Notes
Page 23 Of 79
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Professional Competence: Exercise care and skill in all activities.
Compliance with Laws: Adhere to SEBI Act, SCRA, and other regulations.
Investor Grievance Redressal: Promptly address investor complaints.
SCORES Platform: SEBI’s online system for investor grievance redressal.
General Obligations: Include maintaining records, submitting reports, and ensuring compliance.
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