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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q85-Q90):

NEW QUESTION # 85
Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A. Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
B. Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.
C. Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
D. In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
E. In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.

Answer: D

Explanation:
The source specifies regarding TREPS: 'Unlike Repo, TREPS facilitate the trading of Repo and the seller of the security has a right to substitute the security.' Also, 'funds borrowed on TREPS are exempted from RBI's CRR/SLR computation.' In contrast, for Repo in Corporate Bonds, the source notes: 'participants cannot borrow against the collateral of their own securities or those of related entities'.

NEW QUESTION # 86
A financial services firm applies for registration as a Portfolio Manager. They nominate Mr. X as the Principal Officer. Mr. X holds a professional qualification in finance from a recognized university. Regarding his experience, which of the following conditions MUST he satisfy to meet the eligibility criteria?

A. Experience of at least 5 years in related activities in the securities market, including at least 2 years in portfolio management or investment advisory services or fund management.
B. Experience of at least 2 years in related activities in the securities market if he holds a CFA charter.
C. Experience of at least 3 years in related activities in the securities market, with at least 1 year in portfolio management.
D. Experience of at least 5 years strictly as a stock broker or dealer in the equity derivatives segment.
E. Experience of at least 7 years in related activities in the securities market, with no specific requirement for portfolio management experience.

Answer: A

Explanation:
The Principal Officer must have a professional qualification and experience of at least five years in related activities in the securities market including in a portfolio manager, stock broker, investment advisor, research analyst or as a fund manager. Provided that at least 2 years of relevant experience is in portfolio management or investment advisory services or in the areas related to fund management.

NEW QUESTION # 87
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A. Trade Enrichment
B. Novation
C. Dematerialization
D. Interoperability
E. Multilateral Netting

Answer: B

Explanation:
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.

NEW QUESTION # 88
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
B. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
C. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
D. The CC matches the client level net obligations with the Block details provided by the depositories.
E. The CC matches the client's available margin in the cash segment with the value of securities blocked.

Answer: D

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 89
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A. Indian Depository Receipts (IDRs)
B. Foreign Currency Convertible Bonds (FCCBs)
C. Global Depository Receipts (GDRs)
D. Masala Bonds
E. External Commercial Borrowings (ECBs)

Answer: B

Explanation:
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.

NEW QUESTION # 90
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