100%パスレートNISM-Series-VII日本語関連対策 &認定試験のリーダー &現実的なNISM-Series-VII合格記

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution
Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Risk Management and Margining	18%	- Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies
Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Securities Market Overview	10%	- Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products
Trading Operations	15%	- Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms
Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries

>> NISM-Series-VII日本語関連対策 <<

NISM-Series-VII合格記、NISM-Series-VII資格講座

私たちNISMのNISM-Series-VIIトレントは、紙で学ぶだけでなく、携帯電話を使って学習できるように、さまざまなバージョンを特別に提案しました。これにより、生徒が断片化した時間を利用できるようになります。興味や習慣に応じて、CertJukenのNISM-Series-VII学習教材のバージョンを選択できます。バリューパックを購入すると、3つのバージョンがすべて揃っており、価格は非常に優遇されており、すべての学習体験を楽しむことができます。つまり、いつでもどこでもNISM-Series-VII試験エンジンを勉強して、NISM Series VII - Securities Operations and Risk Management Certification試験に合格するのに役立ちます。

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q81-Q86):

質問 # 81
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A. Performing the actual transfer of funds and securities to the Clearing Corporation.
B. Computing obligations of all trading members to determine positions to settle.
C. Confirming the genuineness of transaction details provided by the Clearing Corporation.
D. Opening demat accounts for retail clients.
E. Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.

正解：E

解説：
The source explicitly lists the functions of Clearing Members. Under Risk Management, it lists: 'Setting limits based on upfront deposits / margins for each trading member/client and monitoring positions on a continuous basis.' Option A is the 'Clearing' function. Option B isthe 'Settlement' function.

質問 # 82
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A. Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.
B. Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
C. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
D. Netting is permitted only for funds, while securities obligations are kept separate.
E. Obligations are netted across both cycles to reduce liquidity stress.

正解：C

解説：
The operational guidelines for the T+0 rolling settlement cycle explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

質問 # 83
Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A. By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
B. By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
C. By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.
D. By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.
E. By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.

正解：E

解説：
To manage the inter-Clearing Corporation exposure in the peer-to-peer link, Clearing Corporations shall maintain sufficient collateral with each other. This inter-Clearing Corporation collateral comprises two components: (a) Margins as per the existing Risk Management Framework (initial margin, extreme loss margin, etc.); and (b) Additional capital, to be determined by each Clearing Corporation based on the credit risk from the linked Clearing Corporation.

質問 # 84
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

A. Debt securities issued by eligible issuers
B. Equity shares of a company incorporated outside India
C. Depository receipts
D. Currency and interest rate derivatives
E. REITs and InviTs

正解：A、B、C、D、E

解説：
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, the stock exchanges operating in IFSC are permitted to deal in all the listed options: Equity shares of a company incorporated outside India, Depository receipt(s), Debt securities issued by eligible issuers, Currency and interest rate derivatives, Index based derivatives, Commodity derivatives, and REITs and InvITs.

質問 # 85
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
B. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.
C. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.
D. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
E. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.

正解：A

解説：
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.

質問 # 86
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