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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 2: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 4: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Topic 5: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 6: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures

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NISM NISM-Series-VII必殺問題集 & NISM-Series-VIIテスト内容

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q151-Q156):

質問 # 151
A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A. Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
B. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
C. Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
D. Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
E. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore

正解：E

解説：
According to the leverage and exposure limits for margin trading: 1) The total indebtedness of a broker for the purpose of margin trading shall not exceed 5 times of his net worth (5 10 Cr = 50 Cr). 2) The maximum allowable exposure of the broker towards the margin trading facility shall not exceed the borrowed funds and 50% of his 'net worthe (Borrowed Funds + 50% of 10 Cr = Borrowed Funds + 5 Cr).

質問 # 152
What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They must seek prior approval from SEBI for every individual settlement run.
B. They must operate with reduced staff to minimize coordination errors.
C. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
D. They must extend the settlement cycle to T+2 temporarily.
E. They must implement a separate risk management framework for holiday settlements.

正解：C

解説：
The text explicitly states: 'The CCs and depositories shall follow a strict time schedule to ensure that the settlements are completed on the same day.'

質問 # 153
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
B. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
C. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
D. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
E. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.

正解：B、C、D

解説：
StatementA is incorrect because the direct pay-out is *not* applicable to clients having arrangements with custodians. Statement B is correct regarding sequential settlement. Statement C is correct regarding DDPI. Statement D is incorrect because purchasers *can* give one- time standing instructions. Statement E is correct regarding the revised timing to 3:30 PM.

質問 # 154
Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A. Netting is done across all option contracts for a specific underlying security at the client level.
B. Gross at the individual client level without any netting.
C. Gross at the Trading Member level but netted at the Clearing Member level.
D. Netting at the Clearing Member level across all segments.
E. After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.

正解：E

解説：
The source states that for premium settlement in respect of admitted deals in options contracts, the premium payable or receivable value of clearing members shall be computed after netting the premium payable or receivable positions at trading member/Custodial Participant level, for each option contract, at the end of each trading day.

質問 # 155
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
B. Standing Instructions are valid only for off-market transfers and not for market trades.
C. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
D. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
E. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.

正解：E

解説：
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.

質問 # 156
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