NISM Series VII - Securities Operations and Risk Management Certification actual exam torrent & NISM-Series-VII dumps will facilitate exam success

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q89-Q94):

NEW QUESTION # 89
Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

Answer: B

Explanation:
The securities direct pay-out shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades. For other clients, the securities are credited directly to their demat accounts by the Clearing Corporation.


NEW QUESTION # 90
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

Answer: A,B,C

Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.


NEW QUESTION # 91
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

Answer: B

Explanation:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.


NEW QUESTION # 92
In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

Answer: C

Explanation:
The main activity of the DP is to open a demat account for an investor. The main activity being the settlement and transfer of securities from one beneficiary account to another pursuant a trading activity of an investor.


NEW QUESTION # 93
According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

Answer: C

Explanation:
As per the definition of 'Securities' in the Securities Contract Regulation Act (SCRA), 1956, the term includes 'Electronic Gold Receipt', which means an electronic receipt issued on the basis of deposit of underlying physical gold in accordance with regulations made by SEBI. It also includes Zero Coupon Zero Principal Instruments, among others like shares, bonds, and derivatives.


NEW QUESTION # 94
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