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HomeNISM Series X-A: Investment Adviser (Level 1) Certification ExaminationEthical Issues

Ethical Issues

8 sub-topics in this chapter

19.1

Ethical Issues

Sub-topic 1

19.2

Importance of Ethical Conduct of Business

Sub-topic 2

19.3

Ethical Issues for an Investment Adviser

Sub-topic 3

19.4

Ethical Dilemma

Sub-topic 4

19.5

Fiduciary Responsibility of Investment Advisers

Sub-topic 5

19.6

Do's and Don'ts for Investors Issued by SEBI

Sub-topic 6

19.7

Addressing Annual Audit Observations

Sub-topic 7

19.8

Global Best Practices

Sub-topic 8

Key RegulationsGrievance Redress Mechanism
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NISM Modules

View all →
  • NISM Series V-A: Mutual Fund Distributors Certification Examination
  • NISM Series XV: Research Analyst Certification Examination
  • NISM Series VIII: Equity Derivatives Certification Examination
  • NISM Series VII: Securities Operations and Risk Management Certification Examination
  • NISM Series XXI-A: Portfolio Management Services (PMS) Distributors Certification Examination
  • NISM Series I: Currency Derivatives Certification Examination
  • NISM Series XVI: Commodity Derivatives Certification Examination
  • NISM Series X-A: Investment Adviser (Level 1) Certification Examination
  • NISM Series X-B: Investment Adviser (Level 2) Certification Examination

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