Practice Set - 1 | Practice Set | NISM Series XVI: Commodity Derivatives Certification Examination

Question 1

Which principle ensures fair treatment of clients?

Question 2

Which principle ensures investor trust?

Question 3

Which mechanism helps resolve investor disputes?

Question 4

Brokers must maintain confidentiality of client information.

Question 5

A broker executes trades without client consent. This is:

Question 6

If broker prioritizes own trades over client trades, it is:

Question 7

Investor grievances are handled through:

Question 8

A trader is misled about leverage risk. This violates:

Question 9

If broker fails to provide contract note, it is:

Question 10

Brokers must act in the best interest of:

Question 11

Which practice improves investor confidence?

Question 12

Which condition creates confusion for investors?

Question 13

If grievance redressal fails, next step is:

Question 14

Misleading clients about risks violates:

Question 15

If a broker misuses client funds, it leads to:

Question 16

Investor protection measures reduce market fraud.

Question 17

If broker manipulates records, it leads to:

Question 18

Investor education programs aim to:

Question 19

Which action ensures transparency?

Question 20

A broker guarantees profits to attract clients. This is:

Question 21

Investor protection measures aim to:

Question 22

Risk disclosure document informs investors about:

Question 23

If broker delays grievance handling, impact is:

Question 24

A broker hides risks to attract clients. This results in:

Question 25

A broker fully complies with documentation requirements but uses complex jargon to obscure key risks. This situation results in:

Question 26

A broker shares client data without consent. This is:

Question 27

Which element is essential in investor protection?

Question 28

Which scenario is most harmful to investors?

Question 29

Which practice violates investor protection norms?

Question 30

Which document provides details of executed trades?

Question 31

Which principle ensures accountability of brokers?

Question 32

The primary objective of codes of conduct in commodity markets is to:

Question 33

Investor complaints must be resolved within:

Question 34

Which factor leads to investor dissatisfaction?

Question 35

Practice Set - 1