NISM-Series-VII認證指南 & NISM-Series-VII證照指南

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>> NISM-Series-VII認證指南 <<

精準的NISM-Series-VII認證指南，最好的考試指南幫助妳壹次性通過NISM-Series-VII考試

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q27-Q32):

問題 #27
When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A. At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.
B. At the weighted average price of the security on the trading day plus the standard deviation margin.
C. At the highest price recorded for the security during the last 52 weeks.
D. At the valuation price used for the initial valuation debit plus a 5% close-out charge.
E. At the closing price of the security on the day of the auction plus a fixed penalty of 10%.

答案：A

解題說明：
If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

問題 #28
Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A. By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
B. By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
C. By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.
D. By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.
E. By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.

答案：B

解題說明：
To manage the inter-Clearing Corporation exposure in the peer-to-peer link, Clearing Corporations shall maintain sufficient collateral with each other. This inter-Clearing Corporation collateral comprises two components: (a) Margins as per the existing Risk Management Framework (initial margin, extreme loss margin, etc.); and (b) Additional capital, to be determined by each Clearing Corporation based on the credit risk from the linked Clearing Corporation.

問題 #29
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A. Computing obligations of all trading members to determine positions to settle.
B. Opening demat accounts for retail clients.
C. Performing the actual transfer of funds and securities to the Clearing Corporation.
D. Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.
E. Confirming the genuineness of transaction details provided by the Clearing Corporation.

答案：D

解題說明：
The source explicitly lists the functions of Clearing Members. Under Risk Management, it lists: 'Setting limits based on upfront deposits / margins for each trading member/client and monitoring positions on a continuous basis.' Option A is the 'Clearing' function. Option B isthe 'Settlement' function.

問題 #30
Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A. The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.
B. The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.
C. Portfolio Managers may invest in units of Mutual Funds only through the direct plan.
D. The portfolio manager shall segregate each client's holding in securities in separate accounts.
E. The portfolio manager shall not borrow funds or securities on behalf of the client.

答案：C,D,E

解題說明：
Option A is correct: 'The portfolio manager shall not borrow funds or securities on behalf of the client.' Option C is correct: 'Portfolio Managers may invest in units of Mutual Funds only through direct plan.' Option D is correct: 'shall segregate each client's holding in securities in separate accounts.' Option B is incorrect as lending is generally prohibited except as provided under regulation. Option E is incorrect as deploying funds in bill discounting is prohibited.

問題 #31
Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A. The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
C. The trading session operates continuously from 09:15 AM to 3:30 PM.
D. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E. Security shortages are handled through an auction session conducted on the same day.

答案：D

解題說明：
For T+0 settlement: Pay-in for T+0 sell obligations is allowed only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM. The price band is +1- 100 basis points from the T+1 price. There is no netting between T+1 and T+0. Security shortages are directly closed out, not auctioned.

問題 #32
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NISM-Series-VII認證指南 & NISM-Series-VII證照指南

Wiki Article

精準的NISM-Series-VII認證指南，最好的考試指南幫助妳壹次性通過NISM-Series-VII考試

最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q27-Q32):

最新版的NISM-Series-VII認證指南，免費下載NISM-Series-VII學習資料幫助妳通過NISM-Series-VII考試

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