NISM-Series-VII資格勉強 & NISM-Series-VII試験対策書

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q226-Q231):

                                  質問 # 226
                                  To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

                                  正解：C

                                  解説：
                                  To safeguard against misuse, Trading Members shall ensure that funds, if any, received from clients whose running account has been settled, remain in the 'Up Streaming Client Nodal Bank Account' and no such funds shall be used for settlement of running account of other clients.


                                  質問 # 227
                                  When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

                                  正解：C

                                  解説：
                                  Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as valuation debit. (Section 6.5)


                                  質問 # 228
                                  Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

                                  正解：E

                                  解説：
                                  According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.


                                  質問 # 229
                                  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?

                                  正解：E

                                  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 # 230
                                  According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

                                  正解：C

                                  解説：
                                  The source explicitly lists the contributions to the IPF. One such contribution is: 'Penalty collected from TMs for default in pay-in by an investor in an Offer For Sale (OFS) transaction - 10% of the order value.'


                                  質問 # 231
                                  ......

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