NISM PMS Distributors ( NISM 21A ) Certification Exam Notes
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Investor Responsibilities: Include providing accurate KYC information.
SEBI Circulars: Guide operational and ethical practices in PMS.
Confidentiality Breaches: Prohibited under PMLA and SEBI rules.
Portfolio Manager Liability: Limited to client’s investment value.
Client Communication: Regular updates on portfolio status and risks.
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