NISM NISM-Series-VII Exam Tutorials, NISM-Series-VII Best Vce

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM NISM-Series-VII Exam Tutorials <<

Latest NISM-Series-VII Exam Tutorials – First-Grade Best Vce for NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q201-Q206):

NEW QUESTION # 201
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. Entities from Financial Action Task Force (FATF) member countries
C. Charitable organizations
D. Government and Government related investors
E. Corporate bodies

Answer: A,B,D

Explanation:
According to the SEBI (Foreign Portfolio Investors) Regulations, 2019, Category I FPls include Government and Government related investors (Option E), Pension funds and university funds (Option A), and Entities from FATF member countries (Option C). Charitable organizations and Corporate bodies fall under Category II.

NEW QUESTION # 202
Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A. The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.
B. The AP is legally liable for their own acts, completely absolving the Trading Member.
C. The Trading Member must obtain specific prior approval for the AP for each segment separately.
D. The AP must be a corporate body under the Companies Act, 2013.
E. The AP must register as a separate Trading Member with the Exchange.

Answer: C

Explanation:
An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.

NEW QUESTION # 203
According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A. Disciplinary actions
B. Immediate forfeiture of the member's personal assets
C. Withdrawal of trading facility
D. Actions as decided by the Relevant Authority
E. Automatic transfer of the member's clearing bank account to the Investor Protection Fund

Answer: A,C,D

Explanation:
The source states: 'A clearing member... shall render him liable for withdrawal of trading facility [Option A] or such other actions including disciplinary actions [Option B], as may be decided by the Relevant Authority [Option D].'

NEW QUESTION # 204
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)

A. Pay-in and pay-out of the first settlement must be completed before the commencement of the subsequent settlement.
B. CCs shall clear and settle trades on a sequential basis.
C. Members are prohibited from using the pay-out of the first settlement for the subsequent settlement's pay-in.
D. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
E. Settlements for all trade dates falling on holidays must be deferred to the next working week.

Answer: A,B,D

Explanation:
The guidelines include: 1. 'The CCs shall clear and settle the trades on a sequential basis'; 2. 'pay-in and the pay-out of the first settlement shall be completed before the commencement... of the subsequent settlement(s)'; 3. 'depositories shall... facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.' Option D is incorrect as settlements are completed on the same day. Option E is incorrect as the pay-out is specifically made available for the subsequent pay-in.

NEW QUESTION # 205
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
B. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
C. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
D. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
E. The first level of review is conducted by SEBI officials immediately upon request by the investor.

Answer: A,B,C

Explanation:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

NEW QUESTION # 206
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