NISM-Series-VII證照資訊 & NISM-Series-VII指南

從Google Drive中免費下載最新的Fast2test NISM-Series-VII PDF版考試題庫：https://drive.google.com/open?id=1r8eQt1rqGxcbW11W_tMKapkAV7gmMQpf

如果你想通過困難的NISM-Series-VII認證考試，那麼在準備考試時不使用相關考試資料是絕對不行的。如果你想找到適合你自己的優秀的資料，那麼你最應該來的地方就是Fast2test。Fast2test的知名度很高，擁有很多與IT認證相關的優秀的考試考古題。而且所有的考古題都免費提供demo。如果你想知道Fast2test的考古題是不是適合你，那麼先下載考古題的demo體驗一下吧。

NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Procedures for handling complaints
  • 2. Regulatory requirements
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
Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks
Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
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

>> NISM-Series-VII證照資訊 <<

最實用的NISM-Series-VII認證考試資料庫

Fast2test為每個需要通過NISM的NISM-Series-VII考試認證的考生提供了一個明確和卓越的解決方案，我們為你提供NISM的NISM-Series-VII考試詳細的問題及答案， 我們團隊的IT專家是最有經驗和資格的，我們的考試測試題及答案幾乎和真實得考試一樣，做到這樣的確很了不起，更重要的是我們Fast2test網站在全球範圍內執行這項考試培訓通過率最大。

最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q312-Q317):

問題 #312
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

答案：E

解題說明：
The source explicitly lists the functions of Clearing Members. Under Risk Management, it lists: 'Setting limits based on upfront deposits / margins for each trading member/client and monitoring positions on a continuous basis.' Option A is the 'Clearing' function. Option B isthe 'Settlement' function.


問題 #313
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

答案：B,C,D

解題說明：
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.


問題 #314
To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

答案：C

解題說明：
To safeguard against misuse, Trading Members shall ensure that funds, if any, received from clients whose running account has been settled, remain in the 'Up Streaming Client Nodal Bank Account' and no such funds shall be used for settlement of running account of other clients.


問題 #315
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

答案：B

解題說明：
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.


問題 #316
Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

答案：B

解題說明：
Front running involves the usage of non-public information to directly or indirectly buy or sell securities in advance of a substantial order, anticipating that the price may change when the information (the order) becomes public. This gives the broker an unfair advantage.


問題 #317
......

在Fast2test的網站上你可以免費下載Fast2test為你提供的關於NISM NISM-Series-VII 認證考試學習指南和部分練習題及答案作為嘗試。

NISM-Series-VII指南: https://tw.fast2test.com/NISM-Series-VII-premium-file.html

順便提一下，可以從雲存儲中下載Fast2test NISM-Series-VII考試題庫的完整版：https://drive.google.com/open?id=1r8eQt1rqGxcbW11W_tMKapkAV7gmMQpf