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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Topic 2: Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Risk management
  • 2. Settlement processing
  • 3. Trade execution
Topic 3: Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Investor protection
  • 2. Regulatory oversight
Topic 4: Risk Management- Risk management in a securities broking firm
  • 1. Identifying and mitigating risks
  • 2. Compliance and control measures
Topic 5: Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Topic 6: Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Role of the back office in a securities broking firm
  • 2. Clearing and settlement process

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q168-Q173):

NEW QUESTION # 168
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

Answer: E

Explanation:
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.


NEW QUESTION # 169
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

Answer: D

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'


NEW QUESTION # 170
Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

Answer: C

Explanation:
The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'


NEW QUESTION # 171
Under the 'Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)', which of the following statements correctly describes the permissibility of different cloud deployment models?

Answer: E

Explanation:
The framework clarifies that a Private Cloud shall be considered as an on-premise deployment and consequently, private cloud deployments shall be governed by SEBI circulars (e.g., cyber security, outsourcing, BCP-DR) issued from time to time, and may not be governed by the specific cloud framework. Public, Community, and Hybrid clouds are permitted subject to conditions.


NEW QUESTION # 172
Large stock brokers have evolved from pure trading intermediaries into comprehensive 'Financial Services Companies'. In this capacity, which specific service is highlighted as being offered primarily to High Net Worth Individuals (HNIs)?

Answer: D

Explanation:
The text states: 'They also offer wealth management services for high net worth individuals (HNIs).' This is a distinct service offered by big stock brokers who have converted into financial services companies.


NEW QUESTION # 173
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