NISM-Series-VII Valid Exam Discount & Reliable NISM-Series-VII Test Online

BTW, DOWNLOAD part of Prep4King NISM-Series-VII dumps from Cloud Storage: https://drive.google.com/open?id=1awtC2mpozF-PcZZ-USNIqFODR0jOyMid

Because customer first, service first is our principle of service. If you buy our NISM-Series-VII study guide, you will find our after sale service is so considerate for you. We are glad to meet your all demands and answer your all question about our NISM-Series-VII study materials. We can make sure that if you purchase our NISM-Series-VII Exam Questions, you will have the right to enjoy our perfect after sale service and the high quality products. So do not hesitate and buy our NISM-Series-VII study guide, we believe you will find surprise from our NISM-Series-VII exam questions.

NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 2: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 3: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 4: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 5: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 6: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints

>> NISM-Series-VII Valid Exam Discount <<

Reliable NISM-Series-VII Test Online, NISM-Series-VII Reliable Exam Guide

Our practice exams are designed solely to help you get your NISM NISM-Series-VII certification on your first try. A NISM NISM-Series-VII practice test will help you understand the exam inside out and you will get better marks overall. It is only because you have practical experience of the exam even before the exam itself. Prep4King offers authentic and up-to-date study material that every candidate can rely on for good preparation. Our top priority is to help you pass the NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) exam on the first try.

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q115-Q120):

NEW QUESTION # 115
In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A. Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.
B. Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
C. Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
D. Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
E. Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.

Answer: E

Explanation:
The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.

NEW QUESTION # 116
Identify the correct expiry and settlement logic for Currency Derivative contracts (USD-INR) traded on Indian stock exchanges.

A. Contracts expire two working days prior to the last business day of the month; Final Settlement Price is the average spot rate of the last 30 minutes.
B. Contracts expire on the last working day of the month; Final Settlement Price is the RBI Reference Rate.
C. Contracts expire two working days prior to the last business day of the expiry month at 12:30 pm; Final Settlement Price is the FBIL reference rate.
D. Contracts expire on the 1 5th of every month; Settlement is cash settled based on the crossing of FCY-INR rates.
E. Contracts expire on the last Thursday of the month; Settlement is physical delivery of the foreign currency.

Answer: C

Explanation:
For Currency Derivatives (USD-INR), the source states: 'The expiry day/ last day for the trading of the monthly contract shall be two working days prior to the last business day of the expiry month at 12.30 pm.' and 'The final settlement price for USDINR... is the FBIL (Financial Benchmarks India Pvt. Ltd.) reference rate.'

NEW QUESTION # 117
Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit
B. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
C. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
D. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
E. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs

Answer: E

Explanation:
According to the source regarding InvlTs raising funds by way of private placement: 'The minimum investment from any investor should be of rupees one crore.' and 'In case of private placement, trading lot for the purpose of trading of units on the designated stock exchange shall Rs. 25 lakhs.'

NEW QUESTION # 118
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
B. The trade is annulled, and the buyer is refunded the transaction amount without penalty.
C. By conducting an auction session on T+1 day along with the regular market auction.
D. By conducting an auction session on T+0 day at 2:30 PM.
E. By imposing a standard valuation debit of 20% above the closing price.

Answer: A

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

NEW QUESTION # 119
In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A. 4:15 PM on T Day
B. 11:00 AM on T+1 Day
C. 8:00 PM on T Day
D. 9:00 AM on T+1 Day
E. 7:30 AM on T+1 Day

Answer: C

Explanation:
The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.

NEW QUESTION # 120
......

You can try the NISM NISM-Series-VII exam dumps demo before purchasing. If you like our NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) exam questions features, you can get the full version after payment. Prep4King NISM-Series-VII Dumps give surety to confidently pass the NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) exam on the first attempt.

Reliable NISM-Series-VII Test Online: https://www.prep4king.com/NISM-Series-VII-exam-prep-material.html

BONUS!!! Download part of Prep4King NISM-Series-VII dumps for free: https://drive.google.com/open?id=1awtC2mpozF-PcZZ-USNIqFODR0jOyMid