NISM-Series-VII學習筆記 - NISM-Series-VII最新考證

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 2: Clearing and Settlement	15%	- Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations
Topic 3: Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Topic 4: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity
Topic 5: Market Microstructure	12%	- Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types
Topic 6: Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Topic 7: Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Topic 8: Investor Protection	7%	- Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal

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NISM NISM-Series-VII最新考證 - NISM-Series-VII最新題庫資源

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q16-Q21):

問題 #16
Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A. Internet-based Online Trading (IBT)
B. Margin funding
C. Issuance of Indian Currency
D. Investment advice & Research reports
E. Mobile trading & Smart Order Routing (SOR)

答案：A,B,D,E

解題說明：
The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.

問題 #17
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.
B. The VIPV recording is optional if the client provides a digitally signed self-declaration.
C. The VIPV must be conducted offline and the recording uploaded to the KRA system later.
D. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
E. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.

答案：D

解題說明：
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.

問題 #18
With the validation of instructions for Pay-In of securities from Client demat account to Member Pool Account, what action do Depositories take if the quantity in the transfer instruction is more than the obligation provided by the Clearing Corporation (CC)?

A. The instruction is completely rejected.
B. The instruction is processed for the full quantity, and excess is returned by the Member.
C. The instruction is partially processed by the depositories up to the matching obligation quantity.
D. The instruction is held in pending status until the Member confirms the additional quantity.
E. The instruction is processed only if the client provides a specific indemnity bond.

答案：C

解題說明：
If the quantity in instruction is more than the obligation provided by CC, then the instruction will be partially processed by the depositories (i.e., upto the matching obligation quantity).

問題 #19
According to the eligibility criteria for 'Accredited Investors' in the Indian securities market, which of the following financial profiles satisfies the requirements for an Individual or HUF to obtain accreditation?

A. Annual Income 2 INR 50 Lakhs AND Net Worth INR 5 Crore
B. Net Worth 2 INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets
C. Annual Income INR 2 Crore, irrespective of Net Worth composition
D. Net Worth 2 INR 5 Crore, with no specific requirement for financial assets
E. Annual Income 2 INR 1 Crore AND Net Worth 2 INR 3 Crore

答案：B

解題說明：
As per the eligibility criteria for Accredited Investors, an Individual, HIJF, Family Trust, or sole proprietorship must meet one of the following: (i) Annual Income >= INR 2 Crore; OR (ii) Net Worth >= INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets; OR (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore, out of which at least INR 2.5 Crore is in the form of financial assets.

問題 #20
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Capped additional contribution by non-defaulting members.
B. Penalties credited to Core SGF.
C. Stock Exchange contribution to Core SGF.
D. Clearing Corporation resources equal to 5% of the segment MRC.
E. Clearing Member Primary Contribution.

答案：D

解題說明：
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

問題 #21
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