NISM Series 7 Securities Operations Certification Exam Notes
Page 81 Of 97
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Client Awareness: Brokers educate clients on grievance options.
Arbitration Process: Includes mediation and conciliation options.
IPF Claims Process: Requires submission within specified periods.
Regulatory Reporting: Brokers report grievance status to exchanges.
Investor Rights: Outlined in SEBI’s Investor Charter.
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