NISM Series XIII Common Derivatives Certification Exam Notes

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  • They must avoid conflicts of interest and not prioritize their gain over clients’ interests.
  • Recommendations must be suitable for clients’ financial situations.
  • Investment advice in public media must disclose personal and family interests.
  • Brokers must employ adequately trained staff to serve clients competently.
  • Brokers must cooperate in comparing unmatched transactions.

NISM Common Derivatives

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