NISM-Series-VII専門試験、NISM-Series-VII試験問題解説集

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Depository Operations- Demat account framework
  • 1. NSDL and CDSL roles
    • 2. Account opening and maintenance
      - Corporate actions
      • 1. Record dates and entitlement processing
        • 2. Dividends, bonuses, splits
          Topic 2: Risk Management in Securities Markets- Risk mitigation systems
          • 1. Surveillance and compliance mechanisms
            • 2. Margins and collateral systems
              - Market and operational risk
              • 1. Operational risk controls
                • 2. Types of financial risks
                  Topic 3: Securities Market Operations- Trading process
                  • 1. Trade confirmation and reporting
                    • 2. Order execution and trade lifecycle
                      - Market participants and structure
                      • 1. Roles of brokers, exchanges, and investors
                        • 2. Order types and trading mechanism basics
                          Topic 4: Clearing and Settlement- Settlement systems
                          • 1. Margining and risk adjustments
                            • 2. T+1/T+2 settlement cycles
                              - Clearing mechanisms
                              • 1. Clearing corporations and counterparties
                                • 2. Netting and settlement obligations

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                                  NISM-Series-VII試験問題解説集、NISM-Series-VII試験勉強攻略

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                                  NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q86-Q91):

                                  質問 # 86
                                  In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?

                                  正解：A

                                  解説：
                                  According to the source, the steps in a trade's life cycle are categorized as follows: 'Placing of an order by the investor / client / broker, matching of order and its conversion into trade and routing of order through the trading platform are generally the front office functions; Risk management is the middle office function; Confirmation of trades and Clearing and Settlement of trades are the back office functions.'


                                  質問 # 87
                                  A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

                                  正解：E

                                  解説：
                                  The broker must have a minimum net worth of Rs.50 lacs if the broker is providing the Internet based facility on his own. The stock exchange should grant approval or reject the application as the case may be and communicate its decision to the member within 7 calendar days of the date of completed application submitted to the exchange.


                                  質問 # 88
                                  Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

                                  正解：C

                                  解説：
                                  According to SEBI circulars regarding clients who have not traded in the last 30 days: 'For the clients having credit balance, who have not done any transaction in the 30 calendar days... the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges.'


                                  質問 # 89
                                  In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

                                  正解：D

                                  解説：
                                  SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.


                                  質問 # 90
                                  The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

                                  正解：B

                                  解説：
                                  The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.


                                  質問 # 91
                                  ......

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