唯一無二のNISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification日本語資格取得 -権威のあるJpexam NISM-Series-VIIテスト内容

ちなみに、Jpexam 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=1QNyxuiyX2It950d4b-FDfdA1Ltb5_PWn

我々は無料でNISM-Series-VIIサンプルを提供して、あなたはダウンロードしてみることができます。あなたが満足できると信じています。そして、我々はNISM-Series-VII問題集の3つのバーションを持って、あなたは自分の愛用する版を選ぶことができます。次に、我々は一年の全日で働いていますから、あなたはNISM-Series-VII問題集に何か質問があったら、我々の係員をお問い合わせください。それとも、我々にメールで連絡してください。

NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Trading Operations	15%	- Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution
Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms

>> NISM-Series-VII日本語資格取得 <<

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q61-Q66):

質問 # 61
In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?

A. Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
B. The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.
C. The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
D. Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
E. Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.

正解：D

解説：
According to the section on Settlement dues, 'The clearing members and custodians shall pay to the clearing agency whatever is due to them for settlement of their transactions / positions. In turn, the clearing agency shall pay to the clearing members and custodians moneys payable to them for every settlement for their transactions / positions. This is based on the information provided by the Exchange or Clearing Agency.'

質問 # 62
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 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.
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 conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.
D. Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.
E. 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.

正解：B

解説：
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.

質問 # 63
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?

A. Arbitration and appellate arbitration facility including video-calling facility.
B. A library containing all annual reports of listed companies for the last 10 years.
C. A direct hotline to the Ministry of Finance.
D. A dedicated legal aid clinic with free lawyers for filing civil suits.
E. A banking counter for immediate disbursement of Investor Protection Fund claims.

正解：A

解説：
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.

質問 # 64
SEBI has issued guidelines regarding the discontinuation of usage of pool accounts for transactions in units of Mutual Funds on Stock Exchange Platforms. Under this framework, which of the following practices is explicitly **PERMITTED** as an exception to the general rule against routing units through pool accounts?

A. Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
B. Issuance of Delivery Instruction Slip (DIS) to the Depository Participant to debit units held in dematerialized mode for delivery to the Clearing Corporation during redemption.
C. Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
D. Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.
E. Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.

正解：B

解説：
SEBI has advised that pooling of funds/units by stock brokers shall be discontinued. However, for redemption of units held in dematerialized mode, the practice of issuance of Delivery Instruction Slip ('DIS') (physical or electronic) to the Depository Participant to debit the units for delivery to clearing corporation may continue.

質問 # 65
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)?

A. CMS are required to contribute 100% of the MRC in the form of bank guarantees, while CC manages the fund without financial contribution.
B. Stock Exchanges must contribute 50% of the MRC, while CC and CMS share the remaining 50% equally.
C. CC contribution must be at least 25% of the MRC, and CM contribution is voluntary based on trading volume.
D. CC contribution shall be at least 50% of the MRC from its own funds, and CM primary contribution shall not exceed 25% of the MRC, with no exposure granted on such contribution.
E. CMS must contribute at least 50% of the MRC, and this contribution is eligible for margin exposure limits.

正解：D

解説：
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.'

質問 # 66
......

NISM-Series-VIIトレーニング資料を用意しました。これらは、保証期間中の専門的な練習資料です。参考のために許容できる価格に加えて、3つのバージョンのすべての資料は、10年以上にわたってこの分野の専門家によって編集されています。さらに、一連の利点があります。したがって、NISM-Series-VIIの実際のテストの重要性は言うまでもありません。今すぐご注文いただいた場合、1年間無料の更新をお送りします。これらのサプリメントはすべて、NISM-Series-VII模擬試験にも役立ちます。

NISM-Series-VIIテスト内容: https://www.jpexam.com/NISM-Series-VII_exam.html

P.S.JpexamがGoogle Driveで共有している無料の2026 NISM NISM-Series-VIIダンプ：https://drive.google.com/open?id=1QNyxuiyX2It950d4b-FDfdA1Ltb5_PWn

唯一無二のNISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification日本語資格取得 -権威のあるJpexam NISM-Series-VIIテスト内容

NISM NISM-Series-VII Exam Syllabus Topics:

最新のNISM-Series-VII日本語資格取得 & 資格試験のリーダープロバイダー & 更新のNISM-Series-VIIテスト内容

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q61-Q66):