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

1. Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

A) SEBI (Intermediaries) Regulations, 2008
B) SEBI (Depository & Participants) Regulations, 2018
C) Depositories Act, 1996
D) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
E) SEBI (Prohibition of Insider Trading) Regulations, 2015

2. Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A) Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
B) Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
C) Shortage arising from trades in the T+0 rolling settlement cycle.
D) Shortage arising from trades executed in the Block Deal window.
E) Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.

3. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The DIS must be signed only by the primary holder in case of joint accounts.
B) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
C) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
D) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
E) The DIS must be counter-signed by a SEBI registered official.

4. Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A) It is available to all retail investors without specific authorization.
B) Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
C) It requires manual intervention by the broker for every order to ensure risk compliance.
D) Investment managers acting on behalf of institutional clients are prohibited from using DMA.
E) It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.

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) IDRs can only be converted into underlying shares if the issuer is a US-based company.
B) Redemption is permitted only after 3 years from the date of listing.
C) Redemption is permitted immediately upon listing of the IDRs.
D) Two-way fungibility is strictly prohibited for IDRs.
E) Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.

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