最新のNISM-Series-VII問題集で試験を準備する

NISM NISM-Series-VII 試験概要:

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. A securities broking firm configures its Compliance Management System (CMS) to manage data retention policies in accordance with the Prevention of Money-Laundering Act (PMLA), 2002.
Review the JSON configuration snippet below regarding record retention timelines:

Based on the SEBI directives and PMLA provisions, which setting in the configuration is legally NON-COMPLIANT?

A) transaction_records: 5_years_from_transaction_date
B) suspicious_transaction_reports: 5_years_from_reporting_date
C) Both transaction_records and suspicious_transaction_reports
D) client_identity_documents: 3_years_from_account_closure
E) All settings are compliant

2. Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A) The Investor Protection Fund Trust
B) The Stock Exchange
C) Securities and Exchange Board of India (SEBI)
D) The Depository (NSDL or CDSL)
E) The Association of Mutual Funds in India (AMFI)

3. Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

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

4. If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A) They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
B) They must obtain an indemnity bond from the investor for the full claim amount.
C) They must provide a Bank Guarantee equivalent to 50% of the claim value.
D) They must pay a non-refundable arbitration fee of Rs. 25,000.
E) They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).

5. Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A) TM ID (Trading Member ID)
B) ISIN (International Securities Identification Number)
C) Client's Bank Account Number
D) CM ID (Clearing Member ID)
E) UCC (Unique Client Code)

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