Скачать или смотреть 📘Chapter 11 | NISM Series 6 | Account Opening & Basic Services | Pankaj Kaushik

Welcome to Chapter 11 of our NISM Series VI (Mutual Fund Distributors) training program! This video focuses on the fundamental, yet critically important, operational aspects of the mutual fund industry: Account Opening and the Basic Services provided to investors.

As a distributor, mastering the documentation and regulatory requirements covered here is essential for compliance and ensuring a smooth client onboarding experience. This chapter is vital for understanding the practical execution of transactions.

🎯 What We Cover in This Essential Chapter:

Investor Onboarding and KYC:

Know Your Customer (KYC) Requirements: Detailed review of the mandatory KYC process as stipulated by SEBI and AMFI.

Documentation: Understanding the valid documents required for Proof of Identity and Proof of Address for different investor types (individuals, minors, HUFs, corporates).

C-KYC (Central KYC Registry): The process and benefits of using the Central KYC system for a standardized approach.

FATCA/CRS Declaration: The importance of these declarations for tax compliance.

Basic Operational Services:

Transaction Processing: Understanding the process for submitting purchase (subscription), redemption, and switch requests.

Statement of Account: Explaining the different types of account statements (consolidated, scheme-specific) and their frequency.

Nomination Facility: The procedure for appointing and changing nominees, and the legal implications.

Change in Investor Details: How to process requests for changes in address, bank details, contact information, and mode of holding (e.g., from physical to demat).

Transmission of Units: The process for transferring units upon the death of a unit holder.

Modes of Holding:

Explaining different modes of holding units, such as Single, Joint, or Anyone or Survivor, and their impact on transaction processing.

📚 NISM Exam Success Tip: Focus on the specifics of the KYC documents required for various non-individual applicants (e.g., Trusts, Societies) and the rules surrounding nomination.

👍 If you're preparing for the NISM Series VI exam, be sure to like this video, share it with your study partners, and subscribe for the remaining chapters!

📌 Get ready to take your investment game to the next level!

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