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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. Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A) The funds should be invested in equity mutual funds to generate returns for the client.
B) The funds must be immediately transferred to the TM's proprietary account.
C) The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
D) The funds can be used to settle the running accounts of other clients to ensure liquidity.
E) The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.

2. In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A) The syndicate member must issue a physical acknowledgement slip.
B) The application monies must be blocked in the investor's bank account.
C) The physical form must be received by the Registrar.
D) The General Index Register (GIR) number must be verified.
E) The application must be uploaded to the Exchange bidding platform.

3. A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A) Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
B) The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
C) Standing instructions are only valid for government securities and not for equity shares.
D) The client must mandatorily issue a separate physical receipt instruction for every single trade.
E) The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.

4. Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A) Based on a standing instruction from the Stock Exchange for all accounts
B) Whenever the account balance falls below the minimum required balance
C) Upon implied consent derived from the client's trading pattern
D) Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
E) Immediately upon receipt of a market rumour regarding the security

5. Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

A) Offline Trading System (OTS)
B) Manual Order Routing (MOR)
C) Contract Note Digitization (CND)
D) Physical Delivery Instruction Slip (PDIS)
E) Direct Market Access (DMA)

質問と回答：