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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q257-Q262):

NEW QUESTION # 257
SEBI has formalized a Risk Based Supervision (RBS) model for market intermediaries. Which of the following sequences correctly identifies the four distinct steps of this supervision model?

A. Internal Audit External Audit -> Risk Classification -> Penalty Determination
B. Risk Assessment -> Assigning Risk & Impact Rating -> Determining Supervisory Risk Rating Score -> Supervisory Approach
C. Risk Identification -> Risk Analysis -> Risk Mitigation -> Risk Reporting
D. Client Profiling -> Transaction Monitoring Risk Rating -> Surveillance Action
E. Data Collection -> Compliance Check -> Risk Scoring -> Inspection

Answer: B

Explanation:
The Risk Based Supervision model follows four distinct steps: a. Risk Assessment, b. Assigning Risk & Impact Rating, c. Determining Supervisory Risk Rating Score, and d. Supervisory Approach. This model divides entities into risk groups (very low to high) to determine the quantum of supervision.

NEW QUESTION # 258
Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A. Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
B. Five years from the date of the specific transaction.
C. Two years from the date of the last transaction in the account.
D. Ten years from the date of account opening.
E. Seven years from the date of the suspicious transaction report filing.

Answer: A

Explanation:
The PMLA stipulates two different retention periods. Records of transactions must be maintained for five years from the date of transaction. However, records of documents evidencing identity of clients and beneficial owners must be maintained for five years after the business relationship has ended or the account has been closed, whichever is later.

NEW QUESTION # 259
Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A. Trading Member-cum-Clearing Member (TCM)
B. Authorized Person
C. Trading cum Self-Clearing Member (SCM)
D. Professional Clearing Member (PCM)
E. Only Trading Member

Answer: C

Explanation:
According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.

NEW QUESTION # 260
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A. 09:15 AM to 3:30 PM
B. 09:15AM to 1:30 PM
C. 10:00 AM to 2:00 PM
D. 09:15AM to 12:30 PM
E. 09:00 AM to 3:30 PM

Answer: B

Explanation:
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.

NEW QUESTION # 261
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Incorporation of the company
B. Non-payment of dividend
C. Registration of the company's memorandum of association
D. Appointment of key managerial personnel
E. Conduct of Annual General Meetings

Answer: B

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 262
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