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Chapter 10 of 10
Sales Practices, Code of Conduct and Investor Protection
5 marks (3%)~3 hours study12 sections · 10 practice questions
Learning objectives
- Articulate the suitability and disclosure obligations applicable to derivative-product distribution.
- Identify prohibited practices (front-running, churning, misrepresentation).
- Apply the AMFI Code of Conduct to client interactions.
- Navigate investor grievance redress mechanisms (SCORES, AMFI, ombudsman).
Topics covered
01Suitability assessment for derivative products
02Risk disclosure obligations
03Prohibited practices — front-running, churning, misrepresentation
04AMFI Code of Conduct
05SCORES (SEBI Complaints Redress System)
06Investor education and awareness obligations
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A peek at what's inside Chapter 10:
12
study sections
First section: "Why this chapter matters"
18
cheat-sheet terms
Includes: Suitability assessment, Risk disclosure document (RDD), SEBI Broker Code of Conduct...
10
practice MCQs
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