NISM-Series-VII NISM Series VII - Securities Operations and Risk Management Certification Pass4sure Zertifizierung & NISM Series VII - Securities Operations and Risk Management Certification zuverlässige Prüfung Übung

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 2: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices
Topic 3: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity
Topic 4: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 5: Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Topic 6: Risk Management and Margining	18%	- Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies
Topic 7: Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Topic 8: Market Microstructure	12%	- Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q247-Q252):

247. Frage
Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A. Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
B. Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
C. CC contribution to Core SGF is treated as a liability and excluded from its net worth.
D. Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.
E. The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.

Antwort: B,D,E

Begründung:
According to the source: Penalties levied by CC shall be credited to Core SGF corpus (Option A is True). Interest on cash contribution shall accrue to the Core SGF and be attributed pro-rata (Option B is False). The ROC of the CC shall manage the Core SGF (Option C is True). SEs are allowed to transfer excess contribution in inter-operable scenarios (Option D is True). CC contribution to core SGF shall be considered as part of its net worth (Option E is False).

248. Frage
In the context of the Indian Money Market, which of the following instruments represents an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period specifically defined as between 15 days and 1 year?

A. Notice Money
B. Market Repo
C. Cash Management Bills
D. Commercial Paper
E. Term Money

Antwort: E

Begründung:
Term Money is defined as an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period between 15 days and 1 year. Call money is predominantly overnight, and Notice money is for a period beyond overnight and up to 14 days,.

249. Frage
The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A. It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
B. It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
C. It involves the handling of exceptional situations like auction settlement and bad delivery.
D. It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
E. It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.

Antwort: E

Begründung:
The clearing function of the clearing corporation is specifically designed to work out (a) what members are due to deliver and (b) what members are due to receive on the settlement date. This determination of obligations is distinct from 'settlement', which involves the actual transfer of funds and securities.

250. Frage
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 XI
B. Schedule I
C. Schedule X
D. Schedule V
E. Schedule VII

Antwort: A

Begründung:
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.

251. Frage
Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A. If the market price of the security increases by more than 5% during the trading day.
B. If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
C. If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.
D. If the client has an outstanding margin obligation in the derivatives segment.
E. If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.

Antwort: B

Begründung:
The regulations stipulate that the Broker or client shall not be allowed to unblock securities if the Early Pay-In (EPI) benefit is provided by the Clearing Corporation to the client for the same.

252. Frage
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