NISM-Series-VII : NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII 試験シラバストピック:

NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題：

問題 #1

Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

A. SEBI (Intermediaries) Regulations, 2008
B. SEBI (Depository & Participants) Regulations, 2018
C. SEBI (Prohibition of Insider Trading) Regulations, 2015
D. Depositories Act, 1996
E. SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

問題 #2

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

問題 #3

Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
B. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
C. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
D. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
E. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral

問題 #4

Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A. It is available to all retail investors without specific authorization.
B. Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
C. It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
D. It requires manual intervention by the broker for every order to ensure risk compliance.
E. Investment managers acting on behalf of institutional clients are prohibited from using DMA.

問題 #5

Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A. The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
B. Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.
C. At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
D. 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
E. At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.

解説：