NISM NISM-Series-VII Antworten, NISM-Series-VII Fragenkatalog

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 2: 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 3: 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 4: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 6: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded

>> NISM NISM-Series-VII Antworten <<

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q102-Q107):

102. Frage
A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
B. Funds can be withdrawn only in 'self-name' of the Clearing Member.
C. Withdrawals are restricted to 50% of the account balance on any given trading day.
D. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
E. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.

Antwort: B

Begründung:
According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.

103. Frage
Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A. For collecting brokerage and statutory levies from clients.
B. For separating proprietary trading funds from client funds.
C. For receiving dividend payments from listed companies on behalf of clients.
D. For settlement of commodities derivatives trades only.
E. For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.

Antwort: E

Begründung:
The regulations specify that a Clearing Member can maintain and operate an additional clearing account with a designated clearing bank specifically for the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.

104. Frage
Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?

A. Using surplus funds of one client to provide margin trading facility to another client.
B. Issuance of Commercial Paper (CP) subject to RBI guidelines.
C. Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.
D. Borrowing from Scheduled Commercial Banks.
E. Unsecured long-term loans from promoters and directors.

Antwort: A

Begründung:
The stock broker shall not use the funds of any client for providing the margin trading facility to another client, even if the same is authorized by the first client. Permitted sources include own funds, banks, NBFCs, CPs, and loans from promoters/directors.

105. Frage
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A. Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
B. OTC markets are informal markets where trades are negotiated and settled bilaterally.
C. Exchange Traded Markets do not adhere to a fixed time schedule for settlement.
D. OTC markets use a centralized Clearing Corporation to guarantee all trades.
E. OTC markets consist of standardized contracts traded on a screen-based system.

Antwort: B

Begründung:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.

106. Frage
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
B. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
C. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
D. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
E. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.

Antwort: C

Begründung:
According to the block mechanism framework, if a sale transaction is not executed, the shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day. This eliminates the movement of shares from the client's demat account for early pay- in and back if the trade is not executed.

107. Frage
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