최신버전NISM-Series-VII인증시험덤프공부덤프자료는NISM Series VII - Securities Operations and Risk Management Certification시험패스의가장좋은자료

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM-Series-VII인증시험 덤프공부 <<

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q179-Q184):

질문 # 179
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
B. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
C. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
D. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
E. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.

정답：C

설명：
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

질문 # 180
Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

A. Exemption from the lock-in period requirements for pre-IPO holdings
B. Guaranteed allocation in Initial Public Offers (IPOs)
C. Exemption from payment of Securities Transaction Tax (STT)
D. Complete waiver of KYC documentation requirements
E. Ability to participate in investment products with an investment amount lesser than the minimum amount mandated in respective regulations

정답：E

설명：
Accredited Investors are entitled to benefits such as participating in investment products with an investment amount lesser than the minimum amount mandated in the respective Regulations ('lower ticket size') and relaxation from certain regulatory requirements ('regulation-light framework')-.

질문 # 181
In the context of the T+1 Rolling Settlement schedule for the Cash Market, which of the following specific deadlines is mandated for the completion of custodial confirmation of trades to the Clearing Corporation?

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

정답：C

설명：
According to the typical activity schedule for T+1 Rolling Settlement in the Cash Market, the completion of custodial confirmation of trades to the Clearing Corporation/Clearing House must occur by 7:30 AM on the T+1 day. The download of obligation files happens subsequently by 9:00 AM.

질문 # 182
Regarding 'Internal Shortages' within a broker's firm (where a selling client fails to deliver, but the broker has no net obligation to the Clearing Corporation due to an offsetting buy by another client), what is the specific regulatory advice concerning the handling of charges under the 'Direct Pay-out' of securities framework?

A. The broker is mandated to close out the internal shortage at the highest price of the settlement cycle plus a 5% penalty credited to the Investor Protection Fund.
B. The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
C. The broker must buy the shares from the open market on T+2 and can pass on the purchase cost plus a standard brokerage fee to the defaulting client.
D. Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.
E. The broker should handle such shortages through the process of auction as specified by CCs and is advised not to levy any charges on the client over and above the charges levied by the CCs.

정답：E

설명：
To handle shortages arising due to inter se netting of positions between clients with introduction of Direct Pay-out of securities in client account, SEBI has advised TM/CM to handle such shortages through the process of auction as specified by CCs. Further, SEBI advised TMICM in such cases not to levy any charges on the client over and above the charges levied by the CCs.

질문 # 183
For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A. Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
B. Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
C. Session login details should not be stored; The server location is at the discretion of the service provider.
D. Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
E. Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.

정답：A

설명：
The guidelines specify that Session login details should not be stored on the devices used for internet-based trading and securities trading using wireless technology. Furthermore, The broker's server routing orders to the exchange trading system shall be located in India.

질문 # 184
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NISM-Series-VII시험대비 덤프자료: https://www.itcertkr.com/NISM-Series-VII_exam.html

참고: Itcertkr에서 Google Drive로 공유하는 무료, 최신 NISM-Series-VII 시험 문제집이 있습니다: https://drive.google.com/open?id=1n-UgGh1d75V7ryloe8V3p4diyv5OrLBA

최신버전NISM-Series-VII인증시험덤프공부덤프자료는NISM Series VII - Securities Operations and Risk Management Certification시험패스의가장좋은자료

NISM NISM-Series-VII Exam Syllabus Topics:

최신 업데이트된 NISM-Series-VII인증시험 덤프공부 시험공부자료

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q179-Q184):