NISM V-A Section 4.5 AMFI Code of Ethics & Conduct for Intermediaries Quiz | NISM Series 5A NISM Series V-A · Ch 4 · Section 4.5 Section 4.5: AMFI Code of Ethics & Code of Conduct for Intermediaries ACE · AGNI · Fifth Schedule · 3-Week Notice · Warning Letter · Registration Cancellation · Appeal […]
NISM V-A Section 4.4 Investor Grievance Redress Mechanism Quiz | NISM Series 5A NISM Series V-A · Ch 4 · Section 4.4 Section 4.4: Investor Grievance Redress Mechanism 21 Calendar Days · SCORES Portal · CSCRF · 5 Cyber Resiliency Goals · All SEBI-Regulated Entities ⚖️ Ready to Start? Test your knowledge of investor grievance
NISM V-A Section 4.3 Due Diligence by AMCs for Distributors Quiz | NISM Series 5A NISM Series V-A · Ch 4 · Section 4.3 Section 4.3: Due Diligence Process by AMCs for Distributors AMC Responsibility · Distributor Monitoring · SEBI Circular · Fitness & Propriety Standards ⚖️ Ready to Start? Test your understanding of how
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NISM V-A · Ch 3 · 3.5 — Role and Function of AMFI NISM Series V-A · Ch 3 · 3.5 — Role and Function of AMFI 3.5 — Role and Function of AMFI Association of all AMCs · NOT a regulator, NOT an SRO · ARN allotment (mandatory for distribution) · Nationwide investor awareness
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NISM V-A Section 4.2 Role of SEBI Quiz | TRI PRC Matrix Ad Code Investor Rights | NISM Series 5A NISM Series V-A · Ch 4 · Section 4.2 — Role of SEBI Section 4.2: Role of SEBI — Regulations, Investment Restrictions, Advertisement Code & Investor Rights SEBI Preamble · TRI · Segregated Portfolio ·
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NISM V-A Section 4.1 Regulators in India Quiz | RBI SEBI IRDAI PFRDA | NISM Series 5A NISM Series V-A · Ch 4 · Section 4.1 Section 4.1: Role of Regulators in India RBI · SEBI · IRDAI · PFRDA · Ministry of Finance · Financial Market Regulation ⚖️ Ready to Start? Test your knowledge
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NISM V-A · Ch 3 · 3.4 — Role and Support Function of Service Providers NISM Series V-A · Ch 3 · 3.4 — Role and Support Function of Service Providers 3.4 — Role and Support Function of Service Providers Fund Accountant: No SEBI registration needed · RTA: SEBI registration, ISCs, Folios, Account Statements ·
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NISM V-A · Ch 3 · 3.3 — Organisation Structure of AMC NISM Series V-A · Ch 3 · 3.3 — Organisation Structure of AMC 3.3 — Organisation Structure of AMC Compliance Officer: Reports to Head of AMC, Due-diligence certificate · Fund Management: Analysts / Fund Managers / Dealers · Operations: Fund Accounting (NAV), RTA,
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NISM V-A · Ch 3 · 3.1 — Structure of Mutual Funds in India NISM Series V-A · Ch 3 · 3.1 — Structure of Mutual Funds in India 3.1 — Structure of Mutual Funds in India MF as Trust · Indian Trusts Act 1882 · Trust Deed (Sponsor + Trustees) · Beneficiaries = Unit-holders
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NISM V-A · Ch 3 · 3.2 — Key Constituents of a Mutual Fund NISM Series V-A · Ch 3 · 3.2 — Key Constituents of a Mutual Fund 3.2 — Key Constituents of a Mutual Fund Sponsor: 5 yrs, 5-yr profit, Avg Rs.10 Cr, Net Worth, Liquid Net Worth · Trustees: Min 4, 2/3
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