NISM-Series-VII対応問題集、NISM-Series-VIIクラムメディア

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 2: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 4: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 5: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 6: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements

>> NISM-Series-VII対応問題集 <<

NISM-Series-VIIクラムメディア & NISM-Series-VII日本語版試験解答

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q76-Q81):

質問 # 76
SEBI introduced Chapter IVA in the SEBI (Stock Brokers) Regulations, 1992, to mandate an 'Institutional Mechanism for Prevention and Detection of Fraud or Market Abuse'. Which of the following is NOT explicitly listed as a required component of this mechanism?

A. Mandatory rotation of the Principal Officer every 3 years
B. Systems for surveillance of trading activities and internal controls
C. Escalation and reporting mechanisms
D. Whistle Blower Policy
E. Obligations of the stock-broker and its employees

正解：A

解説：
The source lists the obligations/mechanisms under Chapter IVA as: 1) Systems for surveillance of trading activities and internal controls, 2) Obligations of the stock-broker and its employees, 3) Escalation and reporting mechanisms, and 4) Whistle Blower Policy. Mandatory rotation of the Principal Officer is not mentioned in this specific list.,

質問 # 77
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A. The adjustments for corporate actions would be carried out on all open positions.
B. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
C. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
D. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
E. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.

正解：A、C、D

解説：
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.

質問 # 78
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. The Depository (NSDL or CDSL)
C. The Stock Exchange
D. Securities and Exchange Board of India (SEBI)
E. The Investor Protection Fund Trust

正解：C

解説：
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

質問 # 79
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 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.
B. 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.
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. Internal shortages must be reported to the Exchange, and the trade should be annulled with mutual consent of both clients.
E. The broker must conduct a private auction among its own clients and can charge a facilitation fee not exceeding 1% of the trade value.

正解：A

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 # 80
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?

A. Schedule I
B. Schedule VII
C. Schedule X
D. Schedule V
E. Schedule XI

正解：E

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 # 81
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