NISM NISM-Series-VII Prüfungsinformationen, NISM-Series-VII Prüfungsfrage

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM-Series-VII Übungsfragen: NISM Series VII - Securities Operations and Risk Management Certification & NISM-Series-VII Dateien Prüfungsunterlagen

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q116-Q121):

116. Frage
Which of the following statements accurately describe the operational guidelines for the Online Dispute Resolution (ODR) mechanism in the Indian Securities Market? (Select all that apply)

Antwort: A,B,D

Begründung:
Option A is correct: Market Participants can initiate ODR with 15 days notice. Option B is correct: Appointment is within 5 days. Option D is correct: Timeline is 21 days + 10 days extension. Option C is incorrect because the deposit requirement is 100% of the admissible claim value. Option E is incorrect because investors can initiate ODR if the grievance with the Market Participant is not resolved satisfactorily, or at any stage of subsequent escalations.


117. Frage
Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

Antwort: B

Begründung:
Every DP shall abide by the Code of Conduct as specified in Part A of Third Schedule of SEBI (Depository Participant) Regulation, 2018 and other guidelines specified by SEBI/Depository from time to time.


118. Frage
In the Capital Market / Equity Segment, how is the **Mark to Market (MTM)** margin collected from a clearing member regarding their proprietary and client positions?

Antwort: D

Begründung:
MTM margin is collected on the * *gross open position* * of the member. The gross open position means the gross of all net positions across all the clients of a member including his proprietary position. For this purpose, the position of a client would be netted for each of its various securities, but * *the positions of all the clients of a broker would be grossed* * (i.e., only losses are added up, no setoff of loss of one client with profit of another).


119. Frage
When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

Antwort: A

Begründung:
For a Bonus Issue with ratio A:B, the Adjustment factor is calculated as (A+B)/B. For example, for a 1:1 bonus, A= 1, B=1, Factor = (1+1)/1 = 2. This factor is then used to divide the old strike price and multiply the old market lot/position.


120. Frage
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

Antwort: C

Begründung:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.


121. Frage
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