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

Under the SEBI (Research Analysts) Regulations, 2014, which of the following best describes a research analyst?

A research analyst is a person who prepares or publishes research reports or research analysis, or gives opinions on securities or public offers, for the use of others. Order execution, fund management and credit rating are separate roles and do not define a research analyst.

  1. AA person who only executes buy and sell orders on behalf of clients in the stock exchange
  2. BA person who prepares or publishes the content of a research report or research analysis, or offers a view on securities, for the use of othersCorrect
  3. CA person who only manages pooled investment funds for investors
  4. DA person who only issues credit ratings for debt instruments

Explanation

A research analyst is the person who prepares or publishes research reports or research analysis, or gives views on securities or public offers, for others' use. Executing orders is a broker's function, managing pooled funds is a fund manager's function and credit rating is done by rating agencies.

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