100％合格率-有効的なNISM-Series-VII認定資格試験-試験の準備方法NISM-Series-VII日本語サンプル

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
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
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles

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完璧-有効的なNISM-Series-VII認定資格試験-試験の準備方法NISM-Series-VII日本語サンプル

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q257-Q262):

質問 # 257
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. American Depository Receipt (ADR)
C. Masala Bond
D. Global Depository Receipt (GDR)
E. External Commercial Borrowing (ECB)

正解：C

解説：
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,.

質問 # 258
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 mechanism of linking multiple depositories to facilitate inter-depository transfers.
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 process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
E. It is the two-way process which involves the actual transfer of funds and securities on the settlement date.

正解：D

解説：
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.

質問 # 259
Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A. Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
B. Only Saturdays and Sundays.
C. Only Exchange trading holidays.
D. Only days when the Reserve Bank of India (RBI) is closed.
E. Public holidays declared under the Negotiable Instruments Act only.

正解：A

質問 # 260
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 needs to convert into a Non-Banking Financial Company (NBFC) to offer these services, but no separate SEBI registration is needed.
B. These services can be offered under a general 'Investment Advisory' license without specific product registration.
C. The existing stock broker registration with SEBI is comprehensive and covers all financial services including PMS and Depository services.
D. The broker must obtain separate registration/licenses from SEBI for each of the specific services like PMS and Depository services.
E. Registration is only required with the Stock Exchange for PMS, while Depository services require SEBI registration.

正解：D

解説：
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.

質問 # 261
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
B. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
C. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
D. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
E. When the investor trades in highly correlated indices across different exchanges.

正解：A

解説：
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

質問 # 262
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