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：

1. A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A) 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
B) 900 contracts (Gross Proprietary + Net Client Position)
C) 700 contracts (Net Proprietary + Net Client Position)
D) 500 contracts (Net Proprietary Position only)
E) 6300 contracts (Gross Buy + Gross Sell of all accounts)

2. Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?

A) It is a mechanism for retail clients to directly settle trades with the Clearing Corporation.
B) It is a manual process of verifying contract notes against trade logs to ensure accuracy.
C) It is a risk management tool used exclusively by the Front Office to block erroneous orders before they reach the exchange.
D) It refers to the process of auctioning securities in case of delivery shortages.
E) It involves electronically capturing and processing transactions in one pass, from the point of first 'deal' to final settlement, avoiding manual re-entry.

3. 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 mechanism of linking multiple depositories to facilitate inter-depository transfers.
B) It involves the handling of exceptional situations like auction settlement and bad delivery.
C) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
D) 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.
E) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.

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

5. According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A) 20% of the shortage amount
B) 1% of the trade value
C) 5% of the trade value
D) 2% of the order value
E) 10% of the order value

質問と回答：