Echte NISM-Series-VII Fragen und Antworten der NISM-Series-VII Zertifizierungsprüfung

Übrigens, Sie können die vollständige Version der ExamFragen NISM-Series-VII Prüfungsfragen aus dem Cloud-Speicher herunterladen: https://drive.google.com/open?id=1-q7tbeuYqZsntHivUzKq8nO96WRTpKkJ

Eine geeignete Ausbilung zu wählen stellt eine Garantie für den Erfolg dar. Aber die Wahl ist von großer Bedeutung. ExamFragen hat einen guten Ruf und breite Beliebtheit. Man hat keine Gründe, den ExamFragen einfach zu weigern. Dennoch ist es nicht wirksam, wenn die vollständigen Schulungsunterlagen zur NISM NISM-Series-VII Prüfung Ihnen nicht passen. So können Sie vor dem Kauf die Demo als Probe herunterladen. Auf diese Weise können Sie sich gut auf die Prüfung vorbereiten und die NISM NISM-Series-VII Prüfung ohne Schwierigkeit bestehen. Das ist ein wichtiger Grund dafür, warum viele Kandidaten uns wählen. Wir bieten die besten, kostengünstigsten und vollständigsten Schulungsunterlagen, um den Kandidaten beim Bestehen der NISM NISM-Series-VII Prüfung helfen.

NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Topic 2: Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Topic 3: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 4: Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Topic 5: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Topic 6: Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Topic 7: Market Microstructure	12%	- Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types
Topic 8: Risk Management and Margining	18%	- Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations

>> NISM-Series-VII Prüfungen <<

NISM-Series-VII Schulungsmaterialien & NISM-Series-VII Dumps Prüfung & NISM-Series-VII Studienguide

Die NISM NISM-Series-VII Zertifizierungsprüfung ist heutztage sehr beliebt. ExamFragen wird Ihnen helfen, die NISM-Series-VII Prüfung zu bestehen, und bietet Ihnen einen einjährigen kostenlosen Update-Service. Dann wählen Sie doch ExamFragen, um Ihren Traum zu verwirklichen. Um Erfolg zu erringen, ist Ihnen weise, ExamFragen zu wählen. Wählen Sie ExamFragen, Sie werden der nächste IT-Elite sein.

NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q114-Q119):

114. Frage
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
B. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
C. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
D. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
E. The first level of review is conducted by SEBI officials immediately upon request by the investor.

Antwort: B,C,D

Begründung:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

115. Frage
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client must mandatorily issue a separate physical receipt instruction for every single trade.
B. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
C. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. Standing instructions are only valid for government securities and not for equity shares.

Antwort: C

Begründung:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

116. Frage
According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

A. Promissory Notes issued by private individuals for personal loans
B. Real Estate Sale Deeds registered under the Registration Act
C. Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
D. Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
E. Fixed Deposit Receipts issued by Scheduled Commercial Banks

Antwort: D

Begründung:
As per the definition of 'Securities' in the Securities Contract Regulation Act (SCRA), 1956, the term includes 'Electronic Gold Receipt', which means an electronic receipt issued on the basis of deposit of underlying physical gold in accordance with regulations made by SEBI. It also includes Zero Coupon Zero Principal Instruments, among others like shares, bonds, and derivatives.

117. Frage
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Any resident individual irrespective of investment limit.
B. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
C. Residents are strictly prohibited from dealing in securities listed in IFSC.
D. Only resident Qualified Institutional Buyers (QIBs).
E. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).

Antwort: E

Begründung:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

118. Frage
Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
B. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
C. The DIS must be counter-signed by a SEBI registered official.
D. The DIS must be signed only by the primary holder in case of joint accounts.
E. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.

Antwort: E

Begründung:
A beneficiary account can be debited only if the beneficial owner has given 'Delivery Instruction Slip' (DIS) in the prescribed form. The DIS for an off-market trade or for a market trade has to be clearly indicated in the form by marking appropriately.

119. Frage
......

Mit der Entwicklung der IT-Industrie nimmt die Zahl der IT-Lerner seit Jahren immer zu. Das führt zu immer stärkerer Konkurrenzen. Und es ist undenkbar, dass Sie in IT-Industrie von anderen überschritten sind. Deshalb sollen Sie Ihre Fähigkeit ständig erhöhen und Ihre Stärke zu anderen beweisen. Wie können Sie Ihre Fähigkeit zu anderen beweisen? Immer mehr Leute wählen IT-Zertifizierungen, Ihre Fähigkeit zu beweisen. Wollen Sie auch? Kommen Sie zuerst zu NISM NISM-Series-VII Zertifizierungsprüfung. Das ist die wichtigste NISM Prüfung und auch von vielen Unternehmen anerkannt.

NISM-Series-VII Prüfungsinformationen: https://www.examfragen.de/NISM-Series-VII-pruefung-fragen.html

P.S. Kostenlose 2026 NISM NISM-Series-VII Prüfungsfragen sind auf Google Drive freigegeben von ExamFragen verfügbar: https://drive.google.com/open?id=1-q7tbeuYqZsntHivUzKq8nO96WRTpKkJ