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—-is an individual or firm responsible for making investments on behalf of, and/ or providing advice to, investors.
—-refers to when securities professionals making unnecessary and excessive trades in customer accounts for the sole purpose of generating commissions.
The sales agent should NOT poses following qualities:
Higher the return an investor expect, higher the level of risk involved. This is known as:
A risk averse investor will prefer which of the following portfolio:
Which of the following are the parameters on which risk tolerance level of individual depend:
Which of the following is a document required by the broker to be given to the client which provide information about the level of risk involve in derivative contract?
The disclosure document of derivative must provide following information:
—-involves disguising financial assets so that they can be used without detection of the illegal activity that produced them.
—– is an act to prevent money laundering and to provide for confiscation of property derived from, or involved in, money laundering and for related matters.
The customer due diligence (“CDD”) measures comprises the following:
The Know your client policy need to be exercise at which of the following stage:
Which of the following are cases in which complaint cannot be filed against trading member?
—-is a quasi-judicial process of settlement of disputes between Trading Members, Investors, Clearing Members and also between Investors and Issuers.
Any person, who has a grievance against a listed company or against any market intermediary, can file a complaint using—–
The main objective of Trade Guarantee Fund (TGF) at the exchanges is _________________.
An investment advisor should act in best interest of client.
Investors should be watchful for abnormal changes in their monthly account statements.
As sales is an integral part in financial services, proper advice to the customers is not important only making sales of financial product is important.
Options are a more complex derivative product than index futures.