NISM-Series-VII通過考試100％通過|最新的NISM Series VII - Securities Operations and Risk Management Certification測試引擎確保通過

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
Topic 2: Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Topic 3: 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 4: 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 5: Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Topic 6: Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q276-Q281):

問題 #276
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

答案：C

解題說明：
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.


問題 #277
In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

答案：B

解題說明：
The process is called novation. Through novation, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, thereby acting as a legal counterparty to all trades. This ensures that if there is a default by either party, the Clearing Corporation is responsible for ensuring settlement.


問題 #278
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

答案：B

解題說明：
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.


問題 #279
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

答案：A

解題說明：
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.


問題 #280
Regarding the contributions to the Core Settlement Guarantee Fund (Core SGF), which of the following statements accurately reflects the regulatory requirements for Clearing Members (CMS) and the Clearing Corporation (CC)?

答案：B

解題說明：
The source states: 'CC contribution to Core SGF shall be at least 50 percent of the MRC which should be from its own funds.' And 'The total contribution from members to core SGF for each segment will not be more than 25% of MRC... No exposure shall be available to CMS on their contribution to core SGF.'


問題 #281
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