NISM 19A AIF Distributors Certification Exam Notes
Page 44 Of 50
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Insider Trading: Distributors avoid sharing unpublished price-sensitive information.
Pass-Backs: Rebating commissions to investors is unethical.
Soft Dollar Arrangements: Using client funds for research creates conflicts.
Conflict of Interest: Distributors avoid ties with funds or managers.
Investor Suitability: Recommendations based on investor needs, not commissions.
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