NISM PMS Distributors ( NISM 21A ) Certification Exam Notes
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Portfolio Manager Duties: Act in client’s best interest, ensure transparency.
Compliance Officer: Reports non-compliance to SEBI independently.
Investment Restrictions: Defined by client agreement and SEBI rules.
Fraudulent Practices: Prohibited under SEBI’s PFUTP Regulations.
Insider Trading: Restricted to prevent unfair market advantages.
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