Investment Adviser Level-1 

 July 2020

GEM ID -  5116877-56850821852

Description

This book aims to create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers, under SEBI (Investment Advisers) Regulation 2013 and offering investment advisory services. The key features of this book are as follows:

 

·    Know the basics of investment advisory, steps in the advisory process, making and implementation of financial plan

·    Understand how to evaluate different products, their suitability and how the recommendation of the same can impact investment risks, returns and strategies in personal finance environment for investors and prospective investors in the market

·    Get oriented to the Income tax, and legalities of Estate Planning in personal finance, and regulatory aspects underlying advisory

·    Get acquainted with financial planning as an approach to investing, insurance, retirement planning and an aid for advisers to develop long-term relationships with their clients

·    Coverage of this book includes:

o   Introduction to Indian Financial Markets

o   Securities Market Segments

o   Mutual Funds

o   Investment Products

o   Managing Investment Risk

o   Measuring Investment Returns

o   Concept of Financial Planning

o   Asset Allocation and Investment Strategies

o   Insurance Planning

o   Retirement Planning

o   Tax and Estate Planning

o   Regulatory Environment and Ethical Issues

Also Available, ‘NISM-Series-X-B: Investment Adviser (Level 2)’ Certification Exam Book

 

About NISM Certifications:

NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of financial services sector. NISM’s School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professional meet the defined minimum common knowledge benchmark for various critical market functions like:

·       Mutual Funds

·       Equities

·       Derivatives

·       Securities Operations

·       Compliance

·       Research Analysis

·       Investment Advice

These Certifications and CPE Programs are being developed and administered by NISM as mandated under ‘Securities and Exchange Board of India (Certification of Associated Persons in the Securities Market) Regulations, 2007’. The Certifications creates quality market professionals and catalyzes greater investor participating in the markets. Certifications also provides structured career paths to students and job aspirants in the securities market.

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