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NISM Certifications · NISM-Series-XV: Research Analyst · Introduction to Research Analyst Profession

A research analyst's role in the investment process is best described as:

A research analyst analyses securities and the economic, industry and company factors affecting them, then communicates views or recommendations to those who use the research. The role does not involve executing orders, managing funds on a discretionary basis, or guaranteeing returns.

  1. AExecuting client orders on the exchange and settling the trades
  2. BAnalysing securities and the factors affecting them, and communicating views or recommendations to users of researchCorrect
  3. CGuaranteeing minimum returns on the securities recommended
  4. DManaging client funds on a discretionary basis

Explanation

A research analyst studies companies, industries and markets and communicates conclusions. Order execution is a broker's task, discretionary fund management belongs to portfolio managers, and guaranteeing returns is not permitted or realistic.

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