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NISM-XA Chapter 12: Regulations & Ethics by Bhanuj Prakash is a document available to read on EtoBox.

What is NISM-XA Chapter 12: Regulations & Ethics about?

Chapter 12 of NISM-XA discusses the regulatory environment governing investment advisory in India, highlighting key regulations such as the SEBI Act and the role of SEBI in ensuring compliance and investor protection. It emphasizes the importance of ethical conduct, addressing common issues like conflicts of interest and misrepresentation, while outlining the necessity for a professional code of conduct. The chapter underscores the need for investment advisers to adhere to both legal and ethical standards t

Author

Bhanuj Prakash

Language

EN