NISM NISM-Series-VII Fragen und Antworten, NISM Series VII - Securities Operations and Risk Management Certification Prüfungsfragen

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM-Series-VII Zertifizierung <<

NISM-Series-VII Quizfragen Und Antworten - NISM-Series-VII Vorbereitung

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q265-Q270):

265. Frage
Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A. The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B. The trading session operates continuously from 09:15 AM to 3:30 PM.
C. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
D. Security shortages are handled through an auction session conducted on the same day.
E. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.

Antwort: C

Begründung:
For T+0 settlement: Pay-in for T+0 sell obligations is allowed only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM. The price band is +1- 100 basis points from the T+1 price. There is no netting between T+1 and T+0. Security shortages are directly closed out, not auctioned.

266. Frage
Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A. Details on how an industry is faring and whether current policies favour the industry.
B. Mathematical models for algorithmic trading strategies.
C. Detailed technical analysis of stock price movements and volume data for specific scrips.
D. Confidential insider information regarding upcoming mergers and acquisitions.
E. A comprehensive list of all IPOs expected to hit the market in the next financial year.

Antwort: A

Begründung:
According to the text, * *Sector research includes details on how an industry is faring, whether current policies favour the industry, etc.", so that the choice of investing in a particular industry rests with the investor.

267. Frage
Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A. A former employee who left the company 12 months prior to the act.
B. An individual who has never held a position in the company.
C. A shareholder holding 5% interest in the company.
D. A vendor supplying office stationery on a one-off basis.
E. A banker of the company.

Antwort: E

Begründung:
The regulations list categories of persons deemed to be 'Connected Persons'. This list includes a banker of the company. A former employee is a connected person if associated within 6 months prior to the act. A holding of more than 10% interest is required to be deemed connected. Therefore, a banker is the correct deemed connected person.

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

Antwort: C

Begründung:
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.

269. Frage
A Trading Member appointed as a syndicate member participates in the book building process for an IPO. Regarding the lifecycle and management of offers (bids) entered into the Stock Exchange system, which of the following statements accurately describes the operational parameters?

A. Trading Members can modify or cancel all offers placed in the system from the start till the last day of the book-building process.
B. Offers placed in the system are automatically purged at the end of each trading session if not confirmed by the Registrar.
C. Once entered and numbered, offers cannot be modified by the Trading Member; they must be cancelled and re-entered.
D. The system accepts offers only during the pre-open session of the Exchange on the issue open days.
E. Offers are batched and uploaded at the end of the day, receiving a collective time stamp for the batch.

Antwort: A

Begründung:
As per the study material, 'All the offers placed in the system will remain outstanding till the last day of the book building process. Trading Members can modify/cancel all the offers placed in the system from the start till the last day of the book-building process.' Offers are individually numbered and time-stamped as and when received.

270. Frage
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