NISM National Institute of Securities Markets NISM-Series-VII

近年に、NISM NISM-Series-VII 「NISM Series VII - Securities Operations and Risk Management Certification」 認定試験は重要なコンピュータ能力認定試験になっています。NISM 国際認証資格取得者になったら、求職がもっと易く、高給料も当たり前です！

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JapanCertは国際ＩＴ認証試験資料集を提供するＷｅｂです。JapanCert会社は最良最新の試験資料の資源です、JapanCert会社が提供する NISM 認定資格試験問題集は豊富な経験のＩＴ専家に過去試験より一生懸命に研究する出題傾向のです。

問題集の正確率は９９％になって、１００％に合格できて、安心に試験しましょう。

我社の NISM NISM-Series-VII は今では最新の問題集で、試験範囲を１００％網羅して一番な試験助手になります。20時間から３０時間ぐらいかかるなら、内容を覚えるだけいいです。

問題集がいつも最新の状態を持つために、NISM NISM-Series-VII 認証問題集を購入いただくお客様が一年の更新サービスを無料に提供します。もしこちらで提供する問題集を使用して未合格したら、Prometric或いはVUE発行する成績を確認後、全額に返金します、絶対にお金を無駄にならない。

JapanCert試験問題集はPDF版とソフト版を提供します。PDF版は印刷されることができます、ソフト版はどのパソコンでも使われることもできます。

JapanCertの試験資料を買うかどうかと迷ったら、NISM NISM-Series-VII 「NISM Series VII - Securities Operations and Risk Management Certification」 試験の部分問題と回答を無料にダウンロードして試用する後、決めて信じてくれます。早ければJapanCertを信じてくれて、早く成功になっています。

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NISM-Series-VIIオンライン版は Windows / Mac / Android / iOS 対応です。

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

1. In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A) Custodians are exempt from registration with SEBI if they are registered banks.
B) Custodians automatically act as the counterparty for all institutional trades.
C) Custodians are registered as Trading Members but outsource clearing to PCMs.
D) Custodians are primarily responsible for executing trades on the exchange floor.
E) Custodians are Clearing Members (like PCMs) but do not possess trading rights.

2. To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

A)

B)

C)

D)

E)

3. If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A) They must provide a Bank Guarantee equivalent to 50% of the claim value.
B) They must obtain an indemnity bond from the investor for the full claim amount.
C) They must pay a non-refundable arbitration fee of Rs. 25,000.
D) They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
E) They must deposit 75% of the claim value with the Investor Protection Fund (IPF).

4. Section 15A of the SEBI Act, 1992, prescribes penalties for failure to furnish information, returns, or reports. What is the specific penalty liability for a person who fails to furnish such documents within the specified time?

A) A penalty of ?1 Crore irrespective of the duration of the failure.
B) A fixed penalty of ?5 Lakhs plus ? 10,000 for every day of delay.
C) Not less than ? 1 Lakh but may extend to ?1 Lakh for each day during which such failure continues, subject to a maximum of ?1 Crore.
D) Not less than ? 10 Lakhs but may extend to ?25 Crore depending on the severity of the failure.
E) Imprisonment for a term which may extend to one year, or with fine, or with both.

5. Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A) Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
B) Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
C) Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
D) Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
E) Shortages are carried forward to the T+1 auction session conducted on the next day.

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