NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題:
1. To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?
A) CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
B) CCs shall provide client-wise net delivery obligations on T day to the depositories.
C) CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
D) CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
E) CCs must approve every individual transfer instruction manually before execution on the settlement day.
2. In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?
A) Strictly through in-person meetings at the broker's branch office.
B) Via recorded voice messages on landline telephones only.
C) Only through the official website of the Stock Exchange.
D) Exclusively through physical contract notes sent via post.
E) Through SMS on to the mobile phone.
3. Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?
A) Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
B) Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
C) Exceeds Rs. 1,00,00,000 (Rupees One Crore)
D) Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)
E) Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
4. Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)
A) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
B) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
C) Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.
D) The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
E) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
5. Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?
A) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
B) Redemption is permitted immediately upon listing of the IDRs.
C) IDRs can only be converted into underlying shares if the issuer is a US-based company.
D) Two-way fungibility is strictly prohibited for IDRs.
E) Redemption is permitted only after 3 years from the date of listing.
質問と回答：
| 質問 # 1 正解： B | 質問 # 2 正解： E | 質問 # 3 正解： D | 質問 # 4 正解： B、C、D | 質問 # 5 正解： A |
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