最新NISM NISM-Series-VII題庫資訊，NISM-Series-VII參考資料

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> 最新NISM NISM-Series-VII題庫資訊 <<

最實用的NISM-Series-VII認證考古題

NISM的認證資格最近越來越受歡迎了。因為這是國際廣泛認可的資格，因此參加NISM的認證考試的人也越來越多了。其中，NISM-Series-VII認證考試就是最重要的考試之一。那麼，為了通過這個考試你是怎麼進行準備的呢？是死命地學習與考試相關的知識呢，還是使用了高效率的學習資料呢？

最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q239-Q244):

問題 #239
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A. The date of the cause of action is more than one year old.
B. The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
C. The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
D. The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.
E. The investor has already initiated arbitration proceedings for the same matter.

答案：A

解題說明：
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,

問題 #240
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.
B. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
C. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
D. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
E. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.

答案：C

解題說明：
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

問題 #241
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
B. Rebate on Corporate Tax for the first 2 years only.
C. Waiver of Import Duty on Gold and Silver only.
D. Exemption from Stamp Duty and Registration Fees only.
E. Exemption from GST only.

答案：A

解題說明：
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

問題 #242
Regarding 'Internal Shortages' within a broker's firm (where a selling client fails to deliver, but the broker has no net obligation to the Clearing Corporation due to an offsetting buy by another client), what is the specific regulatory advice concerning the handling of charges under the 'Direct Pay-out' of securities framework?

A. The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
B. The broker should handle such shortages through the process of auction as specified by CCs and is advised not to levy any charges on the client over and above the charges levied by the CCs.
C. The broker must buy the shares from the open market on T+2 and can pass on the purchase cost plus a standard brokerage fee to the defaulting client.
D. The broker is mandated to close out the internal shortage at the highest price of the settlement cycle plus a 5% penalty credited to the Investor Protection Fund.
E. Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.

答案：B

解題說明：
To handle shortages arising due to inter se netting of positions between clients with introduction of Direct Pay-out of securities in client account, SEBI has advised TM/CM to handle such shortages through the process of auction as specified by CCs. Further, SEBI advised TMICM in such cases not to levy any charges on the client over and above the charges levied by the CCs.

問題 #243
In the Capital Market / Equity Segment, how is the **Mark to Market (MTM)** margin collected from a clearing member regarding their proprietary and client positions?

A. Netted at the security level across all clients and proprietary account combined.
B. Collected only if the MTM loss exceeds 10% of the VaR margin collected.
C. Netted across all clients; if the Broker has a net profit across all clients, no margin is collected.
D. Gross of all net positions across all clients; no set-off of loss of one client with the profit of another client.
E. Gross of all open positions; however, proprietary positions can be netted against client positions.

答案：D

解題說明：
MTM margin is collected on the * *gross open position* * of the member. The gross open position means the gross of all net positions across all the clients of a member including his proprietary position. For this purpose, the position of a client would be netted for each of its various securities, but * *the positions of all the clients of a broker would be grossed* * (i.e., only losses are added up, no setoff of loss of one client with profit of another).

問題 #244
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