NISM NISM-Series-VII합격보장가능시험대비자료, NISM-Series-VII최고품질시험덤프공부자료

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Risk Management and Margining	18%	- Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies
Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Investor Protection	7%	- Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal
Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement

>> NISM NISM-Series-VII합격보장 가능 시험대비자료 <<

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q304-Q309):

질문 # 304
Regarding the operational obligations of a Portfolio Manager, which of the following statements regarding the maintenance of books, audit, and reporting to clients is legally accurate?

A. Books of account must be audited every quarter, and reports furnished to clients every month.
B. Books of account must be audited yearly, and a report furnished to the client not exceeding a period of three months.
C. Audit of books is optional for non-discretionary portfolio managers.
D. Books of account must be preserved for 3 years, and reports furnished to clients annually.
E. The portfolio manager is not required to appoint a custodian if they provide discretionary services.

정답：B

설명：
The portfolio manager shall furnish periodically a report to the client, as agreed in the contract, but not exceeding a period of three months. The books of account will be audited yearly by a qualified auditor. Books must be maintained for 5 years.

질문 # 305
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
B. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
C. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
D. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
E. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.

정답：B

설명：
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

질문 # 306
Regarding the 'Block Mechanism in demat account of clients undertaking sale transactions', what happens if the sale transaction is not executed or is unmatched?

A. The client must manually submit an unblocking request to the Depository Participant on T+1 day.
B. The shares are auctioned by the Clearing Corporation to recover the blockage fees.
C. The shares remain blocked until the payout date of the next settlement cycle.
D. The Clearing Corporation uploads cancellation of Block instruction on T day, and securities are unblocked and become free in the client's demat account on T day itself.
E. The shares are transferred to the Clearing Member's pool account and then returned to the client.

정답：D

설명：
In case of unmatched orders, CCs shall upload cancellation of Block instruction on T day so that securities are unblocked and become free in client's demat account on T day itself. If the sale is not executed, shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day.

질문 # 307
SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A. The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
B. The pay-out timing is deferred to T+2 day at 9:00 AM.
C. The pay-out timing is revised from 1:30 PM to 3:30 PM.
D. The pay-out timing remains unchanged at 1 :30 PM.
E. The pay-out timing is advanced from 1:30 PM to 11 AM.

정답：C

설명：
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM. This ensures securities are credited on the same settlement day.

질문 # 308
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
B. The VIPV must be conducted offline and the recording uploaded to the KRA system later.
C. The VIPV recording is optional if the client provides a digitally signed self-declaration.
D. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
E. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.

정답：D

설명：
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.

질문 # 309
......

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NISM NISM-Series-VII합격보장가능시험대비자료, NISM-Series-VII최고품질시험덤프공부자료

NISM NISM-Series-VII Exam Syllabus Topics:

최신 업데이트버전 NISM-Series-VII합격보장 가능 시험대비자료 인증시험자료

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q304-Q309):