高品質的NISM-Series-VII考題保證您順利通過NISM-Series-VII認證考試

Kaoguti公司出版世界頂級IT公司的各種考試認證包過題庫，包括思科認證、IBM認證、微軟認證，Oracle認證等等其他公司的認證。如果您需要快速保證通過NISM-Series-VII考試，如果您對NISM Series VII - Securities Operations and Risk Management Certification考試復習準備感覺迷茫，建議您選擇Kaoguti公司專業的NISM-Series-VII考試培訓資料，這樣可以省時省力更高效的通過NISM-Series-VII考試。絕大多數的考生使用我們的NISM-Series-VII培訓資料PDF版本，只需要在考前花一到二天的時間準備即可通過NISM-Series-VII認證考試。選擇專業、有效的考試資料保證您NISM-Series-VII認證合格，且事半功倍。

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NISM NISM-Series-VII 考試大綱主題:

章節	目標
投資人申訴處理	- 投資人申訴處理流程 1. 申訴處理程序 2. 監管要求
風險管理	- 證券經紀公司之風險管理 1. 遵循規範與管控措施 2. 風險辨識與緩解
證券經紀業務營運	- 證券經紀公司之前台、中檯與後台職能 1. 風險管理 2. 結算作業處理 3. 交易執行
交易流程週期	- 交易流程週期之步驟與參與者 1. 清算與結算流程 2. 證券經紀公司後台之職能
印度證券市場	- 印度證券市場概覽 1. 市場參與者及其職能 2. 各類交易商品
監管架構	- 印度證券交易委員會（SEBI）之職能 1. 監管與督導 2. 投資人保障

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

問題 #1

In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
B. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
C. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
D. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
E. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.

顯示解答討論 0

答案：D 🗳️

說明：（僅 KaoGuTi 成員可見）

問題 #2

Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A. The AP must be a corporate body under the Companies Act, 2013.
B. The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.
C. The AP is legally liable for their own acts, completely absolving the Trading Member.
D. The AP must register as a separate Trading Member with the Exchange.
E. The Trading Member must obtain specific prior approval for the AP for each segment separately.

顯示解答討論 0

答案：E 🗳️

說明：（僅 KaoGuTi 成員可見）

問題 #3

Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A. The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
B. The broker system should have on-site as well as remote site back-up capabilities.
C. Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
D. Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
E. In case of no activity by the client, the system should provide for automatic trading session logout.

顯示解答討論 0

答案：A,B,E 🗳️

說明：（僅 KaoGuTi 成員可見）

問題 #4

According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
B. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
C. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
D. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
E. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.

顯示解答討論 0

答案：D 🗳️

說明：（僅 KaoGuTi 成員可見）

問題 #5

In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.