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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q134-Q139):

NEW QUESTION # 134
In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?

A. Front Office: Routing of order; Middle Office: Risk Management; Back Office: Confirmation of trades
B. Front Office: Clearing; Middle Office: Risk Management; Back Office: Placing of Order
C. Front Office: Trade Confirmation; Middle Office: Routing of order; Back Office: Order Matching
D. Front Office: Settlement; Middle Office: Order Matching; Back Office: Risk Management
E. Front Office: Risk Management; Middle Office: Order Matching; Back Office: Clearing and Settlement

Answer: A

Explanation:
According to the source, the steps in a trade's life cycle are categorized as follows: 'Placing of an order by the investor / client / broker, matching of order and its conversion into trade and routing of order through the trading platform are generally the front office functions; Risk management is the middle office function; Confirmation of trades and Clearing and Settlement of trades are the back office functions.'

NEW QUESTION # 135
To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
B. Depositories must suspend inter-depository transfers until all settlements for the day are concluded.
C. Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.
D. Depositories must process transfers instantly using the API-based immediate transfer mechanism.
E. Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.

Answer: A

Explanation:
The guidelines specify: 'Further, in-order to meet their pay-in obligations for the subsequent settlement, 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 # 136
Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A. Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.
B. Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
C. Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.
D. The facility of block mechanism is mandatory for all Early Pay-In transactions.
E. In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.

Answer: A,C,D

Explanation:
Statement A is correct: The facility is mandatory for all EPI transactions. Statement D is correct: Depositories provide details to CCs for EPI. Statement E is correct: Blocking can be done via online system, eDIS, or physical DIS. Statement B is incorrect because for unmatched orders, CCs upload cancellation on day", not T+1. Statement C is incorrect because Pool to Pool transfers are **not permitted** except from TM pool to CM pool.

NEW QUESTION # 137
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
B. Standing instructions are only valid for government securities and not for equity shares.
C. The client must mandatorily issue a separate physical receipt instruction for every single trade.
D. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
E. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.

Answer: E

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 138
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.
B. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
C. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
D. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.
E. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.

Answer: C

Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.

NEW QUESTION # 139
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