NISM National Institute of Securities Markets NISM-Series-VII

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen:

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

2. Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A) To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
B) To automatically convert funds into approved securities if the balance exceeds a specified threshold.
C) To audit the member's proprietary trading books and freeze accounts in case of high volatility.
D) To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
E) To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.

3. Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A) Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
B) The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
C) For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
D) Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
E) The adjustments for corporate actions would be carried out on all open positions.

4. Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A) Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
B) Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
C) Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
D) Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
E) Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.

5. Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A) Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
B) CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
C) TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
D) Client Collateral Excess Collateral of other Clients CM Proprietary Collateral
E) Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral

Fragen und Antworten: