NISM NISM-Series-VII最新考證 & NISM-Series-VII考題套裝

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q281-Q286):

問題 #281
Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.

A. Foreign Currency Convertible Bond (FCCB)
B. Global Depository Receipt (GDR)
C. External Commercial Borrowing (ECB)
D. American Depository Receipt (ADR)
E. Masala Bond

答案：E

解題說明：
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,.

問題 #282
According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A. Net Worth of INR 6 Crore with no specific requirement on financial assets.
B. Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.
C. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
D. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
E. Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.

答案：B

解題說明：
To be an Accredited Investor, an entity must meet one of the following criteria: (i) Annual Income >= INR 2 Crore; (ii) Net Worth INR 7.5 Crore (with at least INR 3.75 Crore in financial assets); or (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore (with at least INR 2.5 Crore in financial assets). Option C meets criterion (iii). Option A fails (Income < 2 Cr). Option B fails (Financial Assets < 3.75 Cr). Option D fails (Net Worth < 7.5 Cr and no financial asset proof). Option E fails (Income < 1 Cr and Financial Assets < 3.75 Cr for the Net Worth only criteria).

問題 #283
Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A. High Net-worth Individuals (HNls)
B. Clients having arrangements with custodians registered with SEBI for clearing and settlement
C. Qualified Stock Brokers' proprietary trading accounts
D. Retail Individual Investors
E. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)

答案：B

解題說明：
The securities direct pay-out shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades. For other clients, the securities are credited directly to their demat accounts by the Clearing Corporation.

問題 #284
In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A. On the payout date of the relevant settlement cycle.
B. On the date of the Board Meeting where the corporate action was announced.
C. On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.
D. On the Ex-Date of the corporate action before the start of market hours.
E. On the Record Date fixed by the company for the corporate action.

答案：C

解題說明：
The regulations specify that any adjustment for corporate actions would be carried out on the last day on which a security is traded on a cum basis in the underlying equities market after the close of trading hours.

問題 #285
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A. External Commercial Borrowings (ECBs)
B. Masala Bonds
C. Foreign Currency Convertible Bonds (FCCBs)
D. Global Depository Receipts (GDRs)
E. Indian Depository Receipts (IDRs)

答案：C

解題說明：
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.

問題 #286
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