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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q30-Q35):

NEW QUESTION # 30
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
B. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
C. Stock brokers must obtain a separate license from AMFI for providing advisory services.
D. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
E. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.

Answer: D

Explanation:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

NEW QUESTION # 31
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
B. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
C. High Net Worth Individuals (HNIs) trading in the F&O segment.
D. Corporate clients trading through a proprietary account of the Trading Member.
E. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).

Answer: B

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 32
Stock Exchanges are mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

A. Video-calling facility for attending online arbitration or Grievance Redressal meetings
B. A panel of three arbitrators physically present at the centre during market hours
C. Free legal representation by the Exchange's empanelled lawyers
D. Dedicated recording studios for documenting verbal grievances
E. Reimbursement of all travel and lodging expenses for attending hearings

Answer: A

Explanation:
ISCS are required to provide arbitration and appellate arbitration facility including video-calling facility to investors for attending their online arbitration (including appellate arbitration) or Grievance Redressal meetings.

NEW QUESTION # 33
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 3:30 PM on T+1 day
B. 10:30 AM on T+1 day
C. 9:00 AM on T+2 day
D. 1:30 PM on T+1 day
E. End of Day (EOD) on T day

Answer: A

Explanation:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

NEW QUESTION # 34
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. Risk arising from loans extended to group companies or debit balances of clients.
B. Loss resulting from the breakdown of internal controls leading to unauthorized trading.
C. Disruption in settlement systems causing a crisis of confidence among investors.
D. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
E. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.

Answer: A

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 35
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