NISM Series XIII Common Derivatives Certification Exam Notes
Page 93 Of 303
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Client Due Diligence: Assesses client risk profile for compliance.
Unsuitable Recommendations: Prohibited to protect investor interests.
Cold Calling: Restricted to avoid inappropriate client contact.
Client Account Monitoring: Investors should review statements regularly.
Investor Grievance Redressal: Mechanisms to resolve disputes with intermediaries.
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