更新するNISM-Series-VII日本語版対策ガイド &合格スムーズNISM-Series-VII資格試験 |素敵なNISM-Series-VIIミシュレーション問題

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q235-Q240):

質問 # 235
Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A. Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.
B. Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.
C. Settlement must be done on the last trading day of every month or quarter as per the client's preference.
D. Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
E. Settlement dates are determined individually by each stock broker based on their internal risk management policy.

正解：B

解説：
As per the source, the settlement of running accounts of funds shall be done on 'Quarterly and monthly basis, on the dates stipulated by the Exchanges'. Specifically, 'Settlement of running account shall be settled on first Friday and/or Saturday of every month/quarter.' Stock exchanges jointly issue the annual calendar for this purpose.

質問 # 236
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A. Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
B. Obligations are netted across both cycles to reduce liquidity stress.
C. Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
D. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
E. Netting is permitted only for funds, while securities obligations are kept separate.

正解：D

解説：
The operational guidelines for the T+0 rolling settlement cycle explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

質問 # 237
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
B. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
C. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
D. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
E. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.

正解：D

解説：
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

質問 # 238
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must provide a Bank Guarantee equivalent to 50% of the claim value.
B. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
C. They must pay a non-refundable arbitration fee of Rs. 25,000.
D. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
E. They must obtain an indemnity bond from the investor for the full claim amount.

正解：D

解説：
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

質問 # 239
Under the Beta version of the T+0 rolling settlement cycle, how are securities shortages handled differently compared to the standard T+1 settlement cycle?

A. Shortages are settled using the Securities Lending and Borrowing (SLB) mechanism immediately.
B. The trade is annulled and no close out or auction is performed.
C. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
D. Shortages are carried forward to the T+1 auction session.
E. Shortages are auctioned on T+0 day at 4:00 PM.

正解：C

解説：
In the Beta version of T+0 rolling settlement, an auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.

質問 # 240
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