NISM-Series-VIIサンプル問題集 & NISM-Series-VII無料問題

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Types of financial risks 2. Operational risk controls
Topic 3: Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Topic 4: Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors

>> NISM-Series-VIIサンプル問題集 <<

NISM-Series-VII無料問題、NISM-Series-VIIミシュレーション問題

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q294-Q299):

質問 # 294
In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A. On the Record Date fixed by the company for the corporate action.
B. On the Ex-Date of the corporate action before the start of market hours.
C. On the payout date of the relevant settlement cycle.
D. On the date of the Board Meeting where the corporate action was announced.
E. On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.

正解：E

解説：
The regulations specify that any adjustment for corporate actions would be carried out on the last day on which a security is traded on a cum basis in the underlying equities market after the close of trading hours.

質問 # 295
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A. ISIN (International Securities Identification Number)
B. TM ID (Trading Member ID)
C. UCC (Unique Client Code)
D. Client's Bank Account Number
E. CM ID (Clearing Member ID)

正解：A、B、C、E

解説：
The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.

質問 # 296
Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?

A. Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.
B. Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
C. The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.
D. The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
E. Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.

正解：C

解説：
As per the study material, 'It should be noted that unlike the usual demat accounts, the clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.' These accounts are used to deliver securities against pay-in obligations and receive pay-out of securities.

質問 # 297
Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

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

正解：B

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 # 298
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because they trade through Custodians who do not have clearing rights in the F&O segment.
B. Because their trading volumes are too high to be accommodated in a net settlement process.
C. Because they are subject to different tax treaties which prevent segment-wise netting.
D. Because they are not required to pay margins in the F&O segment.
E. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.

正解：E

解説：
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

質問 # 299
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ちなみに、Japancert NISM-Series-VIIの一部をクラウドストレージからダウンロードできます：https://drive.google.com/open?id=11bhJ54pd6YCfdvh4jd5PDDPYZDdiaeGJ