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

インタネット時代に当たるなので、パソコン上のNISM Series VII - Securities Operations and Risk Management Certification試験についての情報は複雑で区別するのは困難なことであると思われます。それで、我々It-Passportsの高質で完備なNISM Series VII - Securities Operations and Risk Management Certification問題集を勧めて、あなたの資料を選んでかかる時間のロースを減少し、もっと多くの時間を利用してNISM Series VII - Securities Operations and Risk Management Certification問題集を勉強します。

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

1. Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A) Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
B) Institutional trades are subject to upfront margin collection similar to retail client trades.
C) The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
D) Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.
E) Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.

2. In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A) The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
B) The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
C) The instruction is partially processed by the depositories up to the matching obligation quantity.
D) The instruction is rejected in its entirety due to the discrepancy in quantity.
E) The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.

3. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A banker of the company.
B) A former employee who left the company 12 months prior to the act.
C) A shareholder holding 5% interest in the company.
D) A vendor supplying office stationery on a one-off basis.
E) An individual who has never held a position in the company.

4. For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A) The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.
B) The closing price of the scrip on the record date fixed for the purpose of dividend payment.
C) The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
D) The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
E) The average closing price of the scrip for the last 5 trading days prior to the record date.

5. While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A) Insurance Companies registered with IRDAI
B) Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
C) Mutual Funds registered with SEBI
D) Category II FPIs who are corporate bodies, individuals, or family offices
E) Public Financial Institutions defined under the Companies Act

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