NISM 5B Mutual Fund Foundation Certification Exam Notes
Page 26 Of 121
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Sponsor: The sponsor establishes the mutual fund and appoints trustees.
SEBI Regulations: SEBI’s 1996 regulations govern mutual fund operations and compliance.
Fund Manager: Fund managers make investment decisions aligned with scheme objectives.
Custodian: Custodians safeguard the fund’s securities and handle transaction settlements.
Registrar and Transfer Agent (RTA): RTAs manage investor records and transactions.
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