All videos · NISM Series V-A · Chapter 6
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The insistent client: what a distributor must do
A 65-year-old client insists on putting all his savings in a small-cap fund. Warn in writing, get his acknowledgement and record the order as "execution only".
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Worked example: A 65-year-old client insists on putting all his savings in a small-cap fund. The distributor writes down why this is unsuitable, gets the client to sign it, and marks the order as execution only.
Exam trap: The right response to an insistent client is not to refuse outright, nor to process silently; it is the written warning plus acknowledgement plus "execution only".
