Investment Adviser – Level 1

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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) Regulations, 2013 and offering investment advisory services.

This book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the following:

Basics of investment advisory
Steps in the advisory process
Making and implementation of financial plan
Evaluation of different products

This book teaches financial planning as an approach to investing, insurance, retirement planning and an aid for advisers to develop long-term relationships with their clients. This book also discusses the concept of Income tax, legalities of Estate planning in personal finance, and regulatory aspects underlying advisory.

The Present Publication is the November 2020 workbook version, published exclusively by Taxmann for NISM Certification Examination X-A | Investment Adviser (Level 1), with the following contents:

Introduction to Indian Financial Markets
Securities Market Segments
Mutual Funds
Investment Products
Measuring Investment Returns
Concept of Financial Planning
Asset Allocation and Investment Strategies
Insurance Planning
Retirement Planning
Tax and Estate Planning
Regulatory Environment and Ethical Issues

National Institute of Securities Markets | An Educational Initiative of SEBI

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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