NISM 10A Investment Adviser Level 1 Notes

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  • Client Agreements: Define scope, fees, and responsibilities in PMS contracts.
  • Custodian Role: Ensures safekeeping of client securities and settlement.
  • High-Net-Worth Focus: PMS caters to sophisticated investors with large portfolios.
  • Investment Strategies: Include growth, value, or income-focused approaches.
  • Portfolio Rebalancing: Adjusts holdings to maintain desired risk-return profile.

NISM 10A NISM Investment Adviser Level 1

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