최신버전NISM-Series-VII시험패스가능한공부문제퍼펙트한덤프,전문가의노하우로만들어진시험자료

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 3: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 4: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 5: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 6: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q315-Q320):

질문 # 315
For stock brokers providing Algorithmic Trading facilities, SEBI has mandated specific controls and audit requirements. Which of the following combinations correctly specifies the server location requirement and the frequency of system audits?

A. Server Location: Co-location facility only; Audit Frequency: Quarterly
B. Server Location: Broker's registered office only; Audit Frequency: Every two years
C. Server Location: India; Audit Frequency: Every six months
D. Server Location: India; Audit Frequency: Once at the time of approval
E. Server Location: Any global location; Audit Frequency: Annually

정답：C

설명：
SEBI has advised stock exchanges to ensure that 'all algorithmic orders are necessarily routed through broker servers located in India'. Furthermore, 'The stock brokers that provide the facility of algorithmic trading shall subject their algorithmic trading system to a system audit every six months'.

질문 # 316
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 trading session operates continuously from 09:15 AM to 3:30 PM.
B. Security shortages are handled through an auction session conducted on the same day.
C. The price band is fixed at +1-5% of the closing price in the regular T+1 market.
D. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
E. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.

정답：E

설명：
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.

질문 # 317
The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A. It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
B. It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
C. It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
D. It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
E. It involves the handling of exceptional situations like auction settlement and bad delivery.

정답：B

설명：
The clearing function of the clearing corporation is specifically designed to work out (a) what members are due to deliver and (b) what members are due to receive on the settlement date. This determination of obligations is distinct from 'settlement', which involves the actual transfer of funds and securities.

질문 # 318
Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?

A. Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
B. The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.
C. The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
D. Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.
E. Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.

정답：B

설명：
As per the study material, 'It should be noted that unlike the usual demat accounts, the clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.' These accounts are used to deliver securities against pay-in obligations and receive pay-out of securities.

질문 # 319
Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

A. Trading cum Self-Clearing Member (SCM)
B. Custodian
C. Authorized Person
D. Professional Clearing Member (PCM)
E. Trading Member-cum-Clearing Member (TCM)

정답：E

설명：
A Trading Member.cum.Clearing Member (TCM) has trading as well as clearing rights. They can clear and settle their own trades as well as trades of other trading members and custodial participants. SCMs can only clear their own/client trades but not for custodian participants. PCMs do not have trading rights.

질문 # 320
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