NiSM-National Institute of Securities Markets - An Educational Initiative of SEBI
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Description
Investment Adviser This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Level 2 Certification Examination for Investment Advisers. NISM-Series-X-A: Investment Adviser (Level 1) Certification Examination along with the NISM-Series-X-B: Investment Adviser (Level 2) Certification Examination seeks to create a common minimum knowledge benchmark for individual investment adviser, principal officer of a non-individual investment adviser and all persons associated with investment advice. NISME The 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 aspects of insurance planning, insurance products and risk management. Various retirement products and their features along with the role of Investment Advisers in retirement planning are also discussed. The book also provides an in-depth understanding of estate planning tools and taxation aspects of different financial securities. It also discusses about the role of behavioural finance and risk profiling in providing comprehensive financial advice by the Investment Adviser.
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Table of Contents
Module 7 : Risk Management and Insurance Planning
Chapter 1 : Basics of Insurance
Chapter 2 : Life Insurance Products
Chapter 3 : Non-Life Insurance Products
Module 8 : Retirement Planning
Chapter 4 : Retirement Planning Basics
Chapter 5 : Retirement Products
Chapter 6 : Miscellaneous Aspects of Retirement Planning
Module 9 : Taxation
Chapter 7 : Concepts in Taxation
Chapter 8 : Capital Gains
Chapter 9 : Income from Other Sources
Chapter 10 : Taxation of Debt Products
Chapter 11 : Taxation of Equity Products
Chapter 12 : Taxation of Other Products
Chapter 13 : Tax Provisions for Special Cases
Module 10 : Estate Planning
Chapter 14 : Basics of Estate Planning
Chapter 15 : Tools for Estate Planning
Module 11 : Behavioural Finance
Chapter 16 : Basics of Behavioural Finance
Chapter 17 : Behavioural Finance in Practice
Module 12 : Comprehensive Investment Advice
Chapter 18 : Risk Profiling for Investors
Chapter 19 : Comparison of Products Across Categories
Chapter 20 : Case Studies
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Author Details
National Institute of Securities Markets (NISM) is an educational institution established by the Securities and Exchange Board of India (SEBI), the securities market regulator, in 2006. The Institute was established in pursuant to the Union Finance Minister's proposal, in his 2005-06 Budget Speech, to set up an institution for teaching and training intermediaries in the securities markets and promoting research. NISM is committed to its vision 'to lead, catalyze and deliver educational initiatives to enhance the quality of securities markets'. The Institute conducts a wide range of capacity building programmes in securities markets - from basic financial literacy to full-time post-graduation programmes. The Institute's six Schools of Excellence, viz., School Certification of Intermediaries, School for Securities education, School for Invest Education and Financial Literacy, School for Regulatory Studies and Supervision, School Corporate Governance and School for Securities Information and Research uphoc NISM's vision and works in synergy towards professionalizing the markets. NISM is mandated by SEBI (Certification of Associated Persons in the Securities Markets) Regulations, 2007 to conduct certification examinations and continuing profession education programs for associated persons engaged by an intermediary. NISM a conducts certification examinations for other regulators like IBBI and PFRDA. NIS certifications establish a single market-wide knowledge benchmark for different function the Indian securities market and enable the associated persons to advance their knowledge and skills.