NISM 10A Investment Adviser Level 1 Notes
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Investment Constraints: Include liquidity, time horizon, taxes, and legal restrictions.
Exposure Limits: Cap investments in sectors, entities, or asset classes to manage risk.
Unique Needs: Tailor portfolios to client-specific goals and preferences.
Investor Assessment: Evaluates financial position, risk tolerance, and goals.
Financial Position Analysis: Reviews income, expenses, assets, and liabilities.
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NISM 10A NISM Investment Adviser Level 1
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