NISM Series 7 Securities Operations Certification Exam Notes
Page 46 Of 97
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Risk Containment Measures: Include margins, position limits, and circuit breakers.
Broker Capital Requirements: Ensure financial stability for risk management.
Client Account Monitoring: Tracks obligations and collateral usage.
SEBI Guidelines: Mandate robust risk management policies.
Cybersecurity Framework: Protects against technology-related risks.
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