NISM NISM-Series-VII日本語練習問題 & NISM-Series-VII受験準備

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM NISM-Series-VII日本語練習問題 <<

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q184-Q189):

質問 # 184
Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?

A. Any day chosen by the broker provided the gap does not exceed 30/90 days.
B. First Friday and/or Saturday of every month/quarter.
C. 15th and/or 30th of every month/quarter.
D. First Monday and/or Tuesday of every month/quarter.
E. Last Friday and/or Saturday of every month/quarter.

正解：B

解説：
To ensure uniformity and clarity, settlement of running account shall be settled on the "first Friday and/or Saturday" of every month/quarter. Stock exchanges issue the annual calendar for this purpose.

質問 # 185
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because their trading volumes are too high to be accommodated in a net settlement process.
B. Because they are subject to different tax treaties which prevent segment-wise netting.
C. Because they trade through Custodians who do not have clearing rights in the F&O segment.
D. Because they are not required to pay margins in the F&O segment.
E. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.

正解：E

解説：
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

質問 # 186
In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).
B. Gross of all buy and sell transactions without any netting at contract level.
C. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
D. Higher of the Proprietary Position or the sum of Client Positions.
E. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.

正解：E

解説：
A TM's open position is the sum of proprietary open position, client open long position and client open short position. Clients' positions are arrived at by summing together net positions of each individual client, but positions are not netted across clients.

質問 # 187
According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

A. Real Estate Sale Deeds registered under the Registration Act
B. Insurance Policies linked to Unit Linked Insurance Plans (ULIPs)
C. Electronic Gold Receipts issued on the basis of deposit of underlying physical gold
D. Fixed Deposit Receipts issued by Scheduled Commercial Banks
E. Promissory Notes issued by private individuals for personal loans

正解：C

解説：
As per the definition of 'Securities' in the Securities Contract Regulation Act (SCRA), 1956, the term includes 'Electronic Gold Receipt', which means an electronic receipt issued on the basis of deposit of underlying physical gold in accordance with regulations made by SEBI. It also includes Zero Coupon Zero Principal Instruments, among others like shares, bonds, and derivatives.

質問 # 188
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
B. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
C. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
D. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
E. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.

正解：E

解説：
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

質問 # 189
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