NISM-Series-VII Fragen & Antworten & NISM-Series-VII Studienführer & NISM-Series-VII Prüfungsvorbereitung

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
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
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q36-Q41):

36. Frage
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
B. Stock brokers must obtain a separate license from AMFI for providing advisory services.
C. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
D. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
E. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.

Antwort: D

Begründung:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

37. Frage
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
B. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
C. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
D. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
E. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.

Antwort: E

Begründung:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

38. Frage
A stock broker intends to expand their business scope by offering Portfolio Management Services (PMS) and functioning as a Depository Participant. According to the regulatory framework for 'Other Services Provided by Brokers', which of the following statements accurately reflects the registration requirement for these additional services?

A. The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.
B. The broker needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
C. The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
D. Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.
E. These services can be offered under a general 'Investment Advisory' license without specific product registration.

Antwort: A

Begründung:
According to the Introduction section of 'Other Services Provided by Brokers', while brokers provide services like PMS, IPO applications, etc., 'for all the other services, the brokers need to be separately registered with SEBI.' Licenses and certifications have to be obtained for each of the services offered.

39. Frage
Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

A. If a Market Participant initiates the dispute resolution process, the fees shall be borne by the MIIs and not the Market Participant.
B. The Market Participant is strictly prohibited from shifting the incidence of fees and charges to the investor/client.
C. Initiation of the conciliation process after six months from the date of the dispute requires payment of a late fee of Rs 1 ,000 by the initiator.
D. For claims of Rs 1 or below, the Sole Arbitrator shall conduct a document-only arbitration process unless a hearing is specifically granted.
E. The ODR Portal allocates disputes to ODR Institutions based on a competitive bidding system for fees.

Antwort: B,C,D

Begründung:
Option A is correct: 'The Market Participant shall not shift the incidence of such fees to the investor/client at any time'. Option B is correct: 'Initiation of conciliation process after six months... will require payment of Rs 1000/- by the initiator'. Option C is correct: When the value of claim... is Rs 1 or below... Sole Arbitrator shall conduct a document-only arbitration process'. Option D is incorrect as allocation is via a 'round-robin system'. Option E is incorrect as fees are borne directly by the Market Participant if it is initiating the process.

40. Frage
According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

A. Fixed percentage haircut of 50%; Limit not to exceed 25% of total liquid assets.
B. No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).
C. Treated as Cash Equivalent with 0% haircut if rated AAA.
D. VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
E. Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.

Antwort: E

Begründung:
As per the acceptable Liquid Assets table and notes: For Corporate Bonds, the haircut is 'Fixed percentage based or VaR based Haircut... To begin with the haircut shall be a minimum of 10 percent.' The limit is 'Not to exceed 10 percent of the total liquid assets of the clearing member.'

41. Frage
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