NISM-Series-VII인증시험, NISM-Series-VII인기덤프

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Pass4Test의 NISM인증 NISM-Series-VII덤프로 시험공부를 하신다면 고객님의 시간은 물론이고 거금을 들여 학원등록하지 않아도 되기에 금전상에서도 많은 절약을 해드리게 됩니다. NISM인증 NISM-Series-VII덤프 구매의향이 있으시면 무료샘플을 우선 체험해보세요.

NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM-Series-VII인증시험 <<

적중율 높은 NISM-Series-VII인증시험 시험덤프자료

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q76-Q81):

질문 # 76
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

정답：B

설명：
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.


질문 # 77
In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

정답：B

설명：
The main activity of the DP is to open a demat account for an investor. The main activity being the settlement and transfer of securities from one beneficiary account to another pursuant a trading activity of an investor.


질문 # 78
Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

정답：E

설명：
Direct Market Access (DMA) is listed as a facility offered by a stock broker's outlet. While the definition is in later sections, the introduction lists it as a key facility provided by brokers.


질문 # 79
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

정답：D

설명：
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.


질문 # 80
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)

정답：A,C,E

설명：
The guidelines include: 1. 'The CCs shall clear and settle the trades on a sequential basis'; 2. 'pay-in and the pay-out of the first settlement shall be completed before the commencement... of the subsequent settlement(s)'; 3. 'depositories shall... facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.' Option D is incorrect as settlements are completed on the same day. Option E is incorrect as the pay-out is specifically made available for the subsequent pay-in.


질문 # 81
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NISM-Series-VII인기덤프: https://www.pass4test.net/NISM-Series-VII.html

참고: Pass4Test에서 Google Drive로 공유하는 무료, 최신 NISM-Series-VII 시험 문제집이 있습니다: https://drive.google.com/open?id=11qcssCCeo31DlI7Qznhvb06LF9g2MSa-