NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investment Adviser Definition: Entities providing investment advice.
Registration Requirements: Include SEBI approval and qualifications.
General Responsibilities: Provide suitable and unbiased advice.
Risk Profiling: Assess client risk appetite and suitability.
Disclosure Requirements: Include conflicts and adviser interests.
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NISM 3A Securities Intermediaries Compliance
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