Practice Set - 2 | Practice Set | NISM Series XVI: Commodity Derivatives Certification Examination

Question 1

Which participant must ensure compliance at execution level?

Question 2

A trader executes trades using non-public regulatory decisions before announcement. This is:

Question 3

A trader uses multiple accounts to bypass limits. This is:

Question 4

Which condition makes enforcement difficult?

Question 5

If SEBI fails to act timely, consequence is:

Question 6

If exchange fails to enforce position limits, risk is:

Question 7

If surveillance fails to detect manipulation, result is:

Question 8

Which scenario creates conflict of interest?

Question 9

A trader hides identity using proxies. This leads to:

Question 10

A trader executes circular trading to create artificial volume. This is:

Question 11

A trader avoids taxes using illegal methods. This is:

Question 12

If a trader splits large orders to avoid detection, this may indicate:

Question 13

A broker fails to segregate client funds. This results in:

Question 14

Which factor increases regulatory complexity most?

Question 15

A trader benefits from delayed disclosure of price-sensitive info. This is:

Question 16

If an exchange delays reporting suspicious trades, the primary risk is:

Question 17

Which scenario represents regulatory arbitrage?

Question 18

Which activity is hardest to regulate?

Question 19

If regulatory oversight weakens, market condition becomes:

Question 20

Which situation creates maximum legal ambiguity?

Question 21

Which scenario reflects insider trading complexity?

Question 22

A broker executes unauthorized trades in client account. This violates:

Question 23

A trader manipulates prices through false orders (spoofing). This is:

Question 24

A trader spreads false rumors to influence prices. This is:

Question 25

A participant repeatedly violates position limits. Regulatory action may include:

Question 26

If KYC norms are bypassed, the major risk is:

Question 27

Which regulatory tool helps detect unusual trading patterns?

Question 28

If compliance systems fail, risk type is:

Question 29

If regulatory penalties are weak, traders may:

Question 30

Practice Set - 2