NISM-Series-VII最も有効な質問と解答で勉強

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我々会社のNISM Series VII - Securities Operations and Risk Management Certification試験勉強資料は3種類のバージョンがあります。第一種はPDF版で、お客様は印刷してから、紙質の形式で勉強し、メモをできます。第二種はNISM Series VII - Securities Operations and Risk Management Certification ソフト版で、真実の試験環境を模擬し作成されて、試験の雰囲気と流れを体験させることができます。第三種はオンライン版で、お客様はスマートとIPADなどの電子設備の上に使用されます。便利持ちなので、どこでもいつでも学習できます。

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我々のNISM Series VII - Securities Operations and Risk Management Certification試験問題集は過去の試験データによって、すべてのエラーの問題が完全に削除し、改善します。それで、我々の問題集の正確性を高めます。20～30時間の学習で相応の効果を発揮することができ、効率的に試験に通過します。

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NISM NISM-Series-VII 試験シラバストピック:

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題：

1. Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?

A) CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
B) CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.
C) CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.
D) CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
E) CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.

2. A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A) Transfer to the Member Pool Account by 10:30 AM on T day.
B) Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
C) Standard pay-in instruction via physical DIS submitted to the Depository Participant.
D) Only by way of early pay-in (EPI) using the block mechanism.
E) Auto-pledge of securities in favor of the Clearing Corporation.

3. In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

A) It is locked in the member's pool account for 24 hours to prevent misuse.
B) It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
C) It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
D) It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.
E) The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).

4. 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?

A) Novation
B) Multilateral Netting
C) Interoperability
D) Dematerialization
E) Trade Enrichment

5. The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A) Corporate clients trading in the derivatives segment only.
B) Non-Resident Indians (NRIs) trading through a designated stock broker.
C) Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
D) High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
E) Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.

質問と回答：