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HomeNISM Series V-A: Mutual Fund Distributors Certification ExaminationLegal and Regulatory Framework

Legal and Regulatory Framework

4 sub-topics in this chapter

4.1

Role of Regulators in India

Sub-topic 1

4.2

Role of Securities and Exchange Board of India

Sub-topic 2

4.3

Investor Grievance Redress Mechanism

Sub-topic 3

4.4

AMFI Code of Conduct for Intermediaries

Sub-topic 4

Legal Structure of Mutual Funds in IndiaScheme Related Information
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  • NISM Series V-A: Mutual Fund Distributors Certification Examination
  • NISM Series XV: Research Analyst Certification Examination
  • NISM Series VIII: Equity Derivatives Certification Examination
  • NISM Series VII: Securities Operations and Risk Management Certification Examination

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