NISM-Series-VII技術問題、NISM-Series-VII問題サンプル

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM-Series-VII問題サンプル & NISM-Series-VII日本語版対応参考書

NISM Series VII - Securities Operations and Risk Management Certification試験は大多数の受験者にとって難しい難題であることは広く受け入れられていますが、関連するNISM-Series-VII認定はこの分野の労働者にとって非常に重要であるため、多くの労働者はこの課題に取り組む必要があります。幸いなことに、この種の質問について心配する必要はありません。このWebサイトCertJukenで最適なソリューションを見つけることができるので、NISM-Series-VIIトレーニング資料です。テクノロジー、人材、施設への継続的な投資により、当社NISMの未来はこれまでになく輝かしく見えました。優れたNISM-Series-VII試験問題により、NISM-Series-VII試験に合格します。

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q280-Q285):

質問 # 280
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
B. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
C. The custodian settles their deliveries on a gross basis with the stock exchanges.
D. The Custodial Participant (CP) Code must be entered at the time of order entry.
E. Institutional investors are permitted to square off their transactions intra-day (Day Trading).

正解：A、B、D

解説：
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

質問 # 281
In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A. It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.
B. It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
C. It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.
D. It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
E. It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.

正解：C

解説：
Clients can give 'Demat Debit and Pledge Instruction' (DDPI) under which they explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose for transferring securities from their individual demat account to brokers pool account for the purpose of meeting their pay-in obligation. This serves to mitigate the misuse associated with the broader Power of Attorney (PoA),.

質問 # 282
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
B. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
C. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
D. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
E. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.

正解：E

解説：
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

質問 # 283
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A. BBB
B. A3
C. A2
D. A1
E. AAA

正解：B

解説：
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.

質問 # 284
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. VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
C. Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.
D. No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).
E. Treated as Cash Equivalent with 0% haircut if rated AAA.

正解：C

解説：
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.'

質問 # 285
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