NISM NISM-Series-VII的中問題集 & NISM-Series-VIIテスト内容

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Clearing and Settlement- Clearing mechanisms
  • 1. Netting and settlement obligations
    • 2. Clearing corporations and counterparties
      - Settlement systems
      • 1. Margining and risk adjustments
        • 2. T+1/T+2 settlement cycles
          Topic 2: Depository Operations- Demat account framework
          • 1. NSDL and CDSL roles
            • 2. Account opening and maintenance
              - Corporate actions
              • 1. Dividends, bonuses, splits
                • 2. Record dates and entitlement processing
                  Topic 3: 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
                          Topic 4: Risk Management in Securities Markets- Market and operational risk
                          • 1. Operational risk controls
                            • 2. Types of financial risks
                              - Risk mitigation systems
                              • 1. Margins and collateral systems
                                • 2. Surveillance and compliance mechanisms

                                  >> NISM NISM-Series-VII的中問題集 <<

                                  試験の準備方法-実際的なNISM-Series-VII的中問題集試験-完璧なNISM-Series-VIIテスト内容

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                                  NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q244-Q249):

                                  質問 # 244
                                  Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

                                  正解：B

                                  解説：
                                  The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.


                                  質問 # 245
                                  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：A

                                  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 # 246
                                  Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

                                  正解：A、C、D、E

                                  解説：
                                  The source specifies that for certain delivery shortages, CC directly does the close-out without conducting an auction. Examples include: Securities under trade for trade category, securities under corporate action, trades done on block deal window (Section 6.5.2). Additionally, regarding the T+0 rolling settlement cycle, it is stated that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out' (Section 3.4.3 / 5.7). Option C is incorrect because normal rolling settlement shortages are handled via auction.


                                  質問 # 247
                                  For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

                                  正解：E

                                  解説：
                                  For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).


                                  質問 # 248
                                  Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

                                  正解：B

                                  解説：
                                  Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.


                                  質問 # 249
                                  ......

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