NISM-Series-VII復習内容、NISM-Series-VII関連資格知識

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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: 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 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 4: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 5: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Trade execution 3. Settlement processing
Topic 6: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints

>> NISM-Series-VII復習内容 <<

NISM-Series-VII関連資格知識 & NISM-Series-VII PDF

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q107-Q112):

質問 # 107
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A. Funds can be withdrawn only in 'self-name' of the Clearing Member.
B. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
C. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
D. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
E. Withdrawals are restricted to 50% of the account balance on any given trading day.

正解：A

解説：
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.

質問 # 108
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
B. All existing contracts of the security shall be expired on the last cum date.
C. They continue to trade with adjusted strike prices until the original expiry date.
D. They are cash-settled immediately at the average price of the last 6 months.
E. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.

正解：B

解説：
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

質問 # 109
Large stock brokers have evolved from pure trading intermediaries into comprehensive 'Financial Services Companies'. In this capacity, which specific service is highlighted as being offered primarily to High Net Worth Individuals (HNIs)?

A. Micro-credit facilities
B. Direct Benefit Transfer (DBT) facilitation
C. Wealth management services
D. Basic savings bank account services
E. Public Provident Fund (PPF) management

正解：C

解説：
The text states: 'They also offer wealth management services for high net worth individuals (HNIs).' This is a distinct service offered by big stock brokers who have converted into financial services companies.

質問 # 110
According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

A. Details of all dematerialized securities held in the broker's pool account and beneficiary account.
B. General expenses, overheads, salaries, and petty cash adjustments for the broking firm.
C. Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.
D. Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.
E. Only the net obligation of funds and securities to be settled with the Clearing Corporation.

正解：D

解説：
The Register of Transactions (Sauda Book) is required to include each transaction effected. It must show the name of the security, its value, rates gross and net of brokerage, and names of the clients.

質問 # 111
Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

A. Margins are adjusted from the liquid assets of a clearing member on a real-time basis.
B. Margins are calculated weekly and adjusted against the Base Minimum Capital.
C. Margins are collected only in the form of cash equivalents deposited with the Clearing Bank.
D. Margins are collected on T+1 day before the pay-in of funds.
E. Margins are collected at the end of the trading day via a debit to the settlement account.

正解：A

解説：
The source states that the clearing member is required to pay upfront margin to the clearing corporation. The margins shall be collected/adjusted from the liquid assets of a clearing member on a real-time basis.

質問 # 112
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