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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: 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 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 4: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 6: 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 (Q115-Q120):

NEW QUESTION # 115
According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

A. Only the net obligation of funds and securities to be settled with the Clearing Corporation.
B. General expenses, overheads, salaries, and petty cash adjustments for the broking firm.
C. Details of all dematerialized securities held in the broker's pool account and beneficiary account.
D. Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.
E. Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.

Answer: D

Explanation:
The Register of Transactions (Sauda Book) is required to include each transaction effected. It must show the name of the security, its value, rates gross and net of brokerage, and names of the clients.

NEW QUESTION # 116
In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

A. The registered office of the ODR Institution administering the dispute.
B. The location of the SEBI Regional Office nearest to the investor.
C. The place where the investor resides permanently.
D. The location where the Market Infrastructure Institution (Mll) is headquartered.
E. The High Court jurisdiction where the listed company is registered.

Answer: C

Explanation:
The venue and seat of the online proceedings shall be deemed to be the place: 'In case of disputes between investor/client and listed companies... where the investor resides permanently',.

NEW QUESTION # 117
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Corporate bodies and Family offices
B. Pension funds and university funds
C. Appropriately regulated entities such as insurance entities from FATF member countries
D. Unregulated funds in the form of limited partnerships
E. Government and Government related investors such as central banks and sovereign wealth funds

Answer: B,C,E

Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.

NEW QUESTION # 118
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
B. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
C. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
D. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
E. When the instruction is received on T+1 day instead of T day.

Answer: A

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 119
Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A. The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
B. Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
C. Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
D. Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
E. Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.

Answer: D

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. As a result, securities shall be credited to the clients' demat account on the same settlement day.

NEW QUESTION # 120
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