NISM Series VII - Securities Operations and Risk Management Certification Exam Questions Can Help You Gain Massive Knowledge - VCETorrent

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
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
          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
                  Depository Operations- Demat account framework
                  • 1. Account opening and maintenance
                    • 2. NSDL and CDSL roles
                      - Corporate actions
                      • 1. Record dates and entitlement processing
                        • 2. Dividends, bonuses, splits
                          Risk Management in Securities Markets- Market and operational risk
                          • 1. Types of financial risks
                            • 2. Operational risk controls
                              - Risk mitigation systems
                              • 1. Margins and collateral systems
                                • 2. Surveillance and compliance mechanisms

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q218-Q223):

                                  NEW QUESTION # 218
                                  Which of the following statements accurately describe the operational guidelines for the Online Dispute Resolution (ODR) mechanism in the Indian Securities Market? (Select all that apply)

                                  Answer: C,D,E

                                  Explanation:
                                  Option A is correct: Market Participants can initiate ODR with 15 days notice. Option B is correct: Appointment is within 5 days. Option D is correct: Timeline is 21 days + 10 days extension. Option C is incorrect because the deposit requirement is 100% of the admissible claim value. Option E is incorrect because investors can initiate ODR if the grievance with the Market Participant is not resolved satisfactorily, or at any stage of subsequent escalations.


                                  NEW QUESTION # 219
                                  A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

                                  Answer: B

                                  Explanation:
                                  The text states: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non- settlement dues at the notified time, shall render him liable for withdrawal of trading facility or such other actions including disciplinary actions, as may be decided by the Relevant Authority.'


                                  NEW QUESTION # 220
                                  In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
                                  What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

                                  Answer: A

                                  Explanation:
                                  A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.


                                  NEW QUESTION # 221
                                  Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

                                  Answer: B

                                  Explanation:
                                  The source states: 'All Index future and option contracts are cash settled.' Regarding expiry cycles: 'Monthly index contracts generally have 3-month expiry cycle except for the long dated options contracts which are available up to 5-year expiry cycle with quarterly expiries (March, June, Sept & Dec cycle) and half yearly expiries (Jun, Dec cycle).'


                                  NEW QUESTION # 222
                                  Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

                                  Answer: E

                                  Explanation:
                                  The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.


                                  NEW QUESTION # 223
                                  ......

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