有効的なNISM-Series-VII日本語資格取得 |最初の試行で簡単に勉強して試験に合格する &専門的なNISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Securities Market Operations- Trading process
  • 1. Trade confirmation and reporting
    • 2. Order execution and trade lifecycle
      - Market participants and structure
      • 1. Order types and trading mechanism basics
        • 2. Roles of brokers, exchanges, and investors
          Risk Management in Securities Markets- Risk mitigation systems
          • 1. Surveillance and compliance mechanisms
            • 2. Margins and collateral systems
              - Market and operational risk
              • 1. Types of financial risks
                • 2. Operational risk controls
                  Clearing and Settlement- Settlement systems
                  • 1. Margining and risk adjustments
                    • 2. T+1/T+2 settlement cycles
                      - Clearing mechanisms
                      • 1. Clearing corporations and counterparties
                        • 2. Netting and settlement obligations
                          Depository Operations- Demat account framework
                          • 1. Account opening and maintenance
                            • 2. NSDL and CDSL roles
                              - Corporate actions
                              • 1. Dividends, bonuses, splits
                                • 2. Record dates and entitlement processing

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                                  NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q267-Q272):

                                  質問 # 267
                                  In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

                                  正解：E

                                  解説：
                                  The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'


                                  質問 # 268
                                  Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

                                  正解：E

                                  解説：
                                  The source specifies regarding TREPS: 'Unlike Repo, TREPS facilitate the trading of Repo and the seller of the security has a right to substitute the security.' Also, 'funds borrowed on TREPS are exempted from RBI's CRR/SLR computation.' In contrast, for Repo in Corporate Bonds, the source notes: 'participants cannot borrow against the collateral of their own securities or those of related entities'.


                                  質問 # 269
                                  In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

                                  正解：E

                                  解説：
                                  The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.


                                  質問 # 270
                                  Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

                                  正解：C

                                  解説：
                                  The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.


                                  質問 # 271
                                  Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

                                  正解：C

                                  解説：
                                  The source states: 'Such conciliator shall conduct one or more meeting/s for the disputing parties to reach an amicable and consensual resolution within 21 calendar days (unless extended for a maximum period of 10 calendar days by consent of the disputing parties to be recorded in writing/electronically)'.


                                  質問 # 272
                                  ......

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