NISM-Series-VII Antworten & NISM-Series-VII Fragen&Antworten

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM-Series-VII Antworten <<

NISM-Series-VII Übungsmaterialien & NISM-Series-VII Lernführung: NISM Series VII - Securities Operations and Risk Management Certification & NISM-Series-VII Lernguide

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q37-Q42):

37. Frage
In the Capital Market / Equity Segment, how is the **Mark to Market (MTM)** margin collected from a clearing member regarding their proprietary and client positions?

A. Gross of all open positions; however, proprietary positions can be netted against client positions.
B. Collected only if the MTM loss exceeds 10% of the VaR margin collected.
C. Netted across all clients; if the Broker has a net profit across all clients, no margin is collected.
D. Gross of all net positions across all clients; no set-off of loss of one client with the profit of another client.
E. Netted at the security level across all clients and proprietary account combined.

Antwort: D

Begründung:
MTM margin is collected on the * *gross open position* * of the member. The gross open position means the gross of all net positions across all the clients of a member including his proprietary position. For this purpose, the position of a client would be netted for each of its various securities, but * *the positions of all the clients of a broker would be grossed* * (i.e., only losses are added up, no setoff of loss of one client with profit of another).

38. Frage
The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
B. Corporate clients trading in the derivatives segment only.
C. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
D. Non-Resident Indians (NRIs) trading through a designated stock broker.
E. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.

Antwort: A

Begründung:
The source explicitly mentions: 'This process shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.'

39. Frage
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 4:15 PM on T Day
B. By 7:30 AM on T+1 Day
C. By 11:00 AM on T+1 Day
D. By 9:00 AM on T+1 Day
E. By 1:30 PM on T+1 Day

Antwort: B

Begründung:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

40. Frage
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The custodian settles their deliveries on a gross basis with the stock exchanges.
B. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
C. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
D. The Custodial Participant (CP) Code must be entered at the time of order entry.
E. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.

Antwort: C,D,E

Begründung:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

41. Frage
According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

A. An official of a stock exchange or clearing corporation.
B. A person who has been associated with the company in any capacity 8 months prior to the trade.
C. A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.
D. A holding company or subsidiary company of the listed entity.
E. A banker of the company.

Antwort: A,C,D,E

Begründung:
The regulations list several categories of 'deemed connected persons' including holding/subsidiary companies, bankers, officials of stock exchanges/clearing corporations, and concerns where a director has >10% interest. Option E is incorrect because the definition of a connected person includes association during the six months prior to the concerned act, not eight months,.

42. Frage
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