NISM-Series-VII Lernhilfe & NISM-Series-VII Exam Fragen

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
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
Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle

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NISM-Series-VII Exam Fragen, NISM-Series-VII Lerntipps

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q26-Q31):

26. Frage
Identify the correct expiry and settlement logic for Currency Derivative contracts (USD-INR) traded on Indian stock exchanges.

A. Contracts expire on the last working day of the month; Final Settlement Price is the RBI Reference Rate.
B. Contracts expire two working days prior to the last business day of the expiry month at 12:30 pm; Final Settlement Price is the FBIL reference rate.
C. Contracts expire on the last Thursday of the month; Settlement is physical delivery of the foreign currency.
D. Contracts expire two working days prior to the last business day of the month; Final Settlement Price is the average spot rate of the last 30 minutes.
E. Contracts expire on the 1 5th of every month; Settlement is cash settled based on the crossing of FCY-INR rates.

Antwort: B

Begründung:
For Currency Derivatives (USD-INR), the source states: 'The expiry day/ last day for the trading of the monthly contract shall be two working days prior to the last business day of the expiry month at 12.30 pm.' and 'The final settlement price for USDINR... is the FBIL (Financial Benchmarks India Pvt. Ltd.) reference rate.'

27. Frage
A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

A. Obligations are netted at the client level but not at the member level.
B. Sell obligations in T+0 are netted against Buy obligations in T+1 to reduce margin requirements.
C. Netting is permitted only if the member opts for the 'Unified Settlement' facility.
D. Funds are netted across segments, but securities are settled separately.
E. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.

Antwort: E

Begründung:
The operational details for T+0 settlement explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

28. Frage
Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
B. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
C. The DIS must be counter-signed by a SEBI registered official.
D. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
E. The DIS must be signed only by the primary holder in case of joint accounts.

Antwort: B

Begründung:
A beneficiary account can be debited only if the beneficial owner has given 'Delivery Instruction Slip' (DIS) in the prescribed form. The DIS for an off-market trade or for a market trade has to be clearly indicated in the form by marking appropriately.

29. Frage
When the obligations arising out of the cash segment settlement and physical settlement of the F&O segment are settled on a net basis, how are the Securities Transaction Tax (STT) and Stamp Duty treated?

A. They continue to be computed, levied, and reported on a segment-wise level, regardless of the netting for settlement.
B. STT is levied on the gross position, while Stamp Duty is levied on the net obligation.
C. They are calculated based on the notional value of the F&O contract only.
D. They are computed and levied on the final netted delivery obligation after merging both segments.
E. They are waived for the cash segment leg if the position is hedged in the F&O segment.

Antwort: A

Begründung:
Under the Net Settlement mechanism, netting of delivery obligations shall be only for the purpose of settlement. Therefore, Securities Transaction Tax (STT) and Stamp Duty shall continue to be computed, levied, and reported on a segment-wise level.

30. Frage
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A. The net worth of the stock broker's promoter group.
B. The number of sub-broker offices managed by the stock broker.
C. The proprietary trading volumes of the stock broker.
D. The available total assets of clients with the stock broker.
E. The total number of active clients of the stock broker.

Antwort: C,D,E

Begründung:
The parameters considered for designating a stock broker as a QSB include: (a) the total number of active clients; (b) the available total assets of clients; (c) trading volumes (excluding proprietary); (d) end of day margin obligations; (e) proprietary trading volumes; (f) compliance score; and (g) grievance redressal score. Promoter net worth and number of sub-broker offices are not listed parameters.

31. Frage
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