100% Pass NISM - Professional NISM-Series-VII - Test NISM Series VII - Securities Operations and Risk Management Certification Dumps Demo

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms
Topic 2: Risk Management and Margining	18%	- Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies
Topic 3: Trading Operations	15%	- Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms
Topic 4: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations
Topic 5: Market Microstructure	12%	- Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation
Topic 6: Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Topic 7: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Topic 8: Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q260-Q265):

NEW QUESTION # 260
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
B. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
C. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
D. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
E. When the instruction is received on T+1 day instead of T day.

Answer: B

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 261
Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A. Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
B. Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
C. Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
D. It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
E. Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.

Answer: A,C,D

Explanation:
Statement A is correct ('mandatory for clearing members to open demat accounts with both the depositories'). Statement B is correct ('The custodian is required to confirm... In case the custodian fails to confirm then the onus of settling the trade falls on the trading member'). Statement E is correct ('mandatory for clearing member to open separate and distinct clearing bank account'). Statement C is incorrect because withdrawals are only allowed in 'self-name'. Statement D is incorrect because the *Clearing Corporation* acts as the legal counterparty through novation, not the Clearing Member.

NEW QUESTION # 262
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Exemption from RBI's CRR/SLR computation
B. Automatic guarantee by the Central Government
C. Eligibility for priority sector lending classification
D. Waiver of stamp duty on the underlying collateral
E. Exemption from Securities Transaction Tax (STT)

Answer: A

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 263
In the event of holidays affecting the settlement schedule, Clearing Corporations (CCs) follow specific guidelines to ensure smooth settlement. Which of the following statements accurately describes the procedure for sequential settlement and inter-depository transfers?

A. CCs prioritize the settlement with the highest value regardless of the chronological order of trade dates.
B. The pay-out from the first settlement is blocked for 24 hours and cannot be used for the subsequent settlement's pay-in.
C. CCs club multiple settlements into a single netted obligation to avoid sequential processing delays.
D. Settlements are postponed to the next working week to ensure all banks are operational.
E. Depositories must facilitate inter-depository transfers within one hour and before the pay-in for the subsequent settlement begins.

Answer: E

Explanation:
To meet pay-in obligations for subsequent settlements during holidays, members may need to move securities from one depository to another. The depositories shall, therefore, facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.

NEW QUESTION # 264
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Pension funds and university funds
B. Government and Government related investors such as central banks and sovereign wealth funds
C. Corporate bodies and Family offices
D. Unregulated funds in the form of limited partnerships
E. Appropriately regulated entities such as insurance entities from FATF member countries

Answer: A,B,E

Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.

NEW QUESTION # 265
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