NISM NISM-Series-VII Zertifizierungsfragen & NISM-Series-VII Simulationsfragen

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM-Series-VII Simulationsfragen & NISM-Series-VII Online Prüfung

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q254-Q259):

254. Frage
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A. BBB
B. AAA
C. A1
D. A3
E. A2

Antwort: D

Begründung:
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.

255. Frage
In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A. The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
B. The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
C. The instruction is partially processed by the depositories up to the matching obligation quantity.
D. The instruction is rejected in its entirety due to the discrepancy in quantity.
E. The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.

Antwort: C

Begründung:
According to the validation process rules: 'If the quantity in instruction is more than the obligation provided by CC, then the instruction will be partially processed by the depositories (i.e., upto the matching obligation quantity).'

256. Frage
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission via the dedicated mobile application of the Registrar and Transfer Agent.
B. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
C. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
D. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
E. Submission through the General Ledger account of the Stock Broker.

Antwort: C

Begründung:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

257. Frage
When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A. Provisional Margin Call
B. Valuation Debit
C. Auction Entry Fee
D. Shortage Collateral Block
E. Close-out Penalty

Antwort: B

Begründung:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as 'valuation debit'.

258. Frage
The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
B. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
C. Corporate clients trading in the derivatives segment only.
D. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
E. Non-Resident Indians (NRIs) trading through a designated stock broker.

Antwort: A

Begründung:
The source explicitly mentions: 'This process shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.'

259. Frage
......

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