n NISM Certifications
VII NISM Series VII
Medium

Which of these are included in the guidelines for risk management under "Enhanced Supervision of Stock Brokers"?

Practice question from NISM Series VII Mock Test 4 — bank. The correct answer is highlighted below with a full explanation.

Options

  1. A

    Uniform nomenclature for bank and demat accounts

  2. B

    Detecting misuse of client funds

  3. C

    Changes in internal audit systems

  4. All of the above

    Correct answer

Why this is the answer

SEBI's guidelines under "Enhanced Supervision of Stock Brokers" cover uniform naming/tagging of accounts, monitoring client funds to detect misuse, and changes in internal audit systems to strengthen risk management and investor confidence.

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