NISM PMS Distributors ( NISM 21A ) Certification Exam Notes
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Code of Conduct: Mandates ethical practices for portfolio managers.
Investor Charter: Outlines client rights and grievance redressal.
KYC Norms: Mandatory for client onboarding and AML compliance.
AML Regulations: Require reporting of suspicious transactions.
Record Maintenance: Transactions preserved for 10 years under PMLA.
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