NISM-Series-VII적중율높은인증덤프자료시험준비에가장좋은인기시험덤프데모문제

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NISM-Series-VII인증시험은 IT업계에 종사하고 계신 분이시라면 최근 많은 인기를 누리고 있다는 것을 알고 계실것입니다. NISM-Series-VII인증시험을 패스하여 자격증을 취득하는데 가장 쉬운 방법은 DumpTOP에서 제공해드리는 NISM-Series-VII덤프를 공부하는 것입니다. NISM NISM-Series-VII덤프에 있는 문제와 답만 기억하시면 NISM-Series-VII시험을 패스하는데 많은 도움이 됩니다.덤프구매후 최신버전으로 업데이트되면 업데이트버전을 시스템 자동으로 구매시 사용한 메일주소로 발송해드려 덤프유효기간을 최대한 길게 연장해드립니다.

NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
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: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 5: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Topic 6: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures

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NISM-Series-VII자격증덤프, NISM-Series-VII유효한 덤프자료

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q178-Q183):

질문 # 178
Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A. Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.
B. Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
C. The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
D. Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.
E. Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.

정답：B

설명：
The regulations for IDRs state that 'Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.' Furthermore, 'Two way fungibility of IDRs is permitted... However, the number of shares that can be converted into depository receipt should be within the headroom available.' The headroom is defined as 'the number of IDRs originally issued minus the number of IDRs outstanding, which is further adjusted for IDRs redeemed into underlying equity shares.'

질문 # 179
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A. ISIN (International Securities Identification Number)
B. TM ID (Trading Member ID)
C. UCC (Unique Client Code)
D. Client's Bank Account Number
E. CM ID (Clearing Member ID)

정답：A,B,C,E

설명：
The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.

질문 # 180
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 clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
B. The DIS must be counter-signed by a SEBI registered official.
C. The DIS must be signed only by the primary holder in case of joint accounts.
D. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
E. The execution date on the DIS cannot be a future date; it must be the same as the submission date.

정답：A

설명：
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.

질문 # 181
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

A. The Prevention of Money Laundering Act, 2002 and SEBI (Intermediaries) Regulations, 2008
B. The Companies Act, 2013 and the Banking Regulation Act, 1949
C. The Securities Contracts (Regulation) Act, 1956 and the RBI Act, 1934
D. The Information Technology Act, 2000 and the Indian Contract Act, 1872
E. The SEBI Act, 1992 and the Depositories Act, 1996

정답：E

설명：
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.

질문 # 182
According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
B. There is no fee for trade annulment if the request is submitted within 30 minutes.
C. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
D. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
E. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.

정답：D

설명：
As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.

질문 # 183
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