NISM PMS Distributors ( NISM 21A ) Certification Exam Notes
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Open Positions: Portfolio managers avoid holding open positions at day-end.
Securities Ownership: Held in client’s name, not portfolio manager’s.
Record Maintenance: Books and records preserved for five years.
Compliance Officer: Reports non-compliance to SEBI independently.
Investor Protection: Ensured through SEBI’s regulatory oversight.
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