n NISM Certifications
VII NISM Series VII
Medium

Which of the following are part of Risk Management procedures for stock brokers?

Practice question from NISM Series VII Mock Test 6 — bank. The correct answer is highlighted below with a full explanation.

Options

  1. A

    Trading limits

  2. B

    Client engagement methods

  3. Both 1 and 2

    Correct answer

  4. D

    None of the above

Why this is the answer

Risk management involves setting trading limits and client engagement methods to control operational, market, credit, and legal risks.

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