NISM-Series-VII Tests - NISM-Series-VII Lernressourcen

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Clearing and Settlement	15%	- Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations
Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Regulatory Framework	15%	- Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices
Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution
Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q210-Q215):

210. Frage
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
B. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
C. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
D. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
E. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.

Antwort: B

Begründung:
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

211. Frage
A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
B. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
C. Withdrawals are restricted to 50% of the account balance on any given trading day.
D. Funds can be withdrawn only in 'self-name' of the Clearing Member.
E. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.

Antwort: D

Begründung:
According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.

212. Frage
If an auction seller, who participated to fulfill a short delivery, fails to deliver the securities on the auction pay-in day, the deal is closed out. What is the specific pricing formula used to charge the defaulting auction seller in this instance?

A. The maximum price of the security recorded during the entire settlement cycle.
B. Official closing price on the close out day plus the auction premium.
C. Highest price prevailing on the Exchange on the auction day only.
D. The price at which the auction offer was originally accepted plus a 5% penalty.
E. Highest price from trade day to close out day OR 20% over official closing price on the close out day, whichever is higher.

Antwort: E

Begründung:
When the auction seller fails to deliver the securities on the auction pay-in day, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out or 20 percent over the official closing price on the close out day whichever is higher.

213. Frage
Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
B. The trading session operates continuously from 09:15 AM to 3:30 PM.
C. Security shortages are handled through an auction session conducted on the same day.
D. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E. The price band is fixed at +1-5% of the closing price in the regular T+1 market.

Antwort: D

Begründung:
For T+0 settlement: Pay-in for T+0 sell obligations is allowed only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM. The price band is +1- 100 basis points from the T+1 price. There is no netting between T+1 and T+0. Security shortages are directly closed out, not auctioned.

214. Frage
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
B. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
C. Standing instructions are only valid for government securities and not for equity shares.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. The client must mandatorily issue a separate physical receipt instruction for every single trade.

Antwort: A

Begründung:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

215. Frage
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