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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
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
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q132-Q137):

NEW QUESTION # 132
In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
B. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
C. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
D. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
E. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.

Answer: B

Explanation:
Trade Enrichment is defined as the process performed automatically after each trade execution where additional information is included in the trade instruction. The back-office systems maintain masters relating to brokerage rates, GST, stamp duty, and STT charge tables. When trade data is uploaded, this information is appended to every trade to arrive at client-wise brokerage, obligations, and tax amounts.

NEW QUESTION # 133
To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A. Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.
B. The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
C. Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
D. Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
E. USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.

Answer: D

Explanation:
To safeguard against misuse, Trading Members shall ensure that funds, if any, received from clients whose running account has been settled, remain in the 'Up Streaming Client Nodal Bank Account' and no such funds shall be used for settlement of running account of other clients.

NEW QUESTION # 134
When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A. At the closing price of the security on the day of the auction plus a fixed penalty of 10%.
B. At the valuation price used for the initial valuation debit plus a 5% close-out charge.
C. At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.
D. At the weighted average price of the security on the trading day plus the standard deviation margin.
E. At the highest price recorded for the security during the last 52 weeks.

Answer: C

Explanation:
If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

NEW QUESTION # 135
For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. VaR Margin + 5 times applicable Extreme Loss Margin
B. VaR Margin + Extreme Loss Margin (ELM)
C. VaR Margin + 3 times applicable Extreme Loss Margin
D. Span Margin + Exposure Margin
E. 40% of the trade value irrespective ofVaR and ELM

Answer: A

Explanation:
For Group 1 stocks other than F&O stocks and Units of Equity ETF, the applicable margin for Margin Trading Facility is VaR + 5 times of applicable Extreme Loss Margin. For Group 1 stocks available in F&O, it is VaR + 3 times ELM.

NEW QUESTION # 136
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

A. It is based on the closing price of the underlying security in the Capital Market Segment.
B. It is determined by the FIMMDA / FBIL reference rate.
C. It is the weighted average price of the contract during the last half an hour of trading.
D.
E. It is fixed at the previous day's settlement price adjusted for the risk-free interest rate.

Answer: D

Explanation:

NEW QUESTION # 137
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