NISM-Series-VII考古題更新 & NISM-Series-VII認證資料

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
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. Procedures for handling complaints 2. Regulatory requirements

>> NISM-Series-VII考古題更新 <<

NISM-Series-VII認證資料 - 新版NISM-Series-VII題庫上線

如果你選擇了報名參加NISM NISM-Series-VII 認證考試，你就應該馬上選擇一份好的學習資料或培訓課程來準備考試。因為NISM NISM-Series-VII 是一個很難通過的認證考試，要想通過考試必須為考試做好充分的準備。

最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q287-Q292):

問題 #287
Under the 'Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)', which of the following statements correctly describes the permissibility of different cloud deployment models?

A. RES are mandated to use only Community Cloud models hosted within the International Financial Services Centres (IFSC).
B. Private cloud is considered an on-premise deployment and is governed by general SEBI circulars (cyber security, outsourcing) rather than the specific cloud framework.
C. Hybrid cloud deployments are prohibited as they combine public and private clouds, creating security vulnerabilities.
D. Community cloud models are treated as 'other cloud models' and are currently prohibited unless explicitly permitted.
E. Public cloud is strictly prohibited for all SEBI Regulated Entities due to data localization concerns.

答案：B

解題說明：
The framework clarifies that a Private Cloud shall be considered as an on-premise deployment and consequently, private cloud deployments shall be governed by SEBI circulars (e.g., cyber security, outsourcing, BCP-DR) issued from time to time, and may not be governed by the specific cloud framework. Public, Community, and Hybrid clouds are permitted subject to conditions.

問題 #288
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Pledging of dematerialized securities & facilitating loans against shares
B. Receiving electronic credit in respect of securities allotted by issuers under IPO
C. Underwriting of Initial Public Offers (IPOs)
D. Issuing equity research reports for the depository
E. Freezing of the demat account for debits, credits, or both

答案：A,B,E

解題說明：
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

問題 #289
Which of the following statements accurately describe the operational guidelines for the Online Dispute Resolution (ODR) mechanism in the Indian Securities Market? (Select all that apply)

A. The conciliator shall attempt to reach a resolution within 21 calendar days, which can be extended by a maximum of 10 calendar days by consent.
B. The Market Participant can initiate dispute resolution through the ODR Portal after giving due notice of at least 15 calendar days to the investor.
C. The ODR Institution must appoint a sole independent and neutral conciliator within 5 days of receipt of the reference.
D. If a Market Participant wishes to pursue online arbitration following an unsuccessful conciliation, they must deposit 50% of the admissible claim value with the relevant Mll.
E. Investors must mandatorily exhaust the SCORES portal process before they can initiate any dispute resolution through the ODR Portal.

答案：A,B,C

解題說明：
Option A is correct: Market Participants can initiate ODR with 15 days notice. Option B is correct: Appointment is within 5 days. Option D is correct: Timeline is 21 days + 10 days extension. Option C is incorrect because the deposit requirement is 100% of the admissible claim value. Option E is incorrect because investors can initiate ODR if the grievance with the Market Participant is not resolved satisfactorily, or at any stage of subsequent escalations.

問題 #290
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
B. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
C. Gross settlement determination Netting within firm Multilateral netting.
D. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
E. Pay-in of funds Multilateral netting -> Pay-out of securities.

答案：D

解題說明：
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'

問題 #291
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 advanced from 1:30 PM to 11 AM.
B. The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
C. The pay-out timing is deferred to T+2 day at 9:00 AM.
D. The pay-out timing is revised from 1:30 PM to 3:30 PM.
E. The pay-out timing remains unchanged at 1 :30 PM.

答案：D

解題說明：
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.

問題 #292
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