NISM Series 8 (NISM VIII): Equity Derivatives Certification Exam Notes
Page 99 Of 102
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Client Identity Verification: Ensures no banned or criminal clients.
Suspension of Transactions: Allowed only in exceptional cases.
Risk Disclosure: Detailed explanation of derivative risks mandatory.
Sales Agent Conduct: Must avoid manipulative or coercive practices.
Investor Safeguards: Protect against losses from intermediary defaults.
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