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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q95-Q100):

NEW QUESTION # 95
While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A. Category II FPIs who are corporate bodies, individuals, or family offices
B. Mutual Funds registered with SEBI
C. Insurance Companies registered with IRDAI
D. Public Financial Institutions defined under the Companies Act
E. Category I Foreign Portfolio Investors (Sovereign Wealth Funds)

Answer: A

Explanation:
Trades of Category II FPIs who are corporate bodies, individuals, or family offices and domestic entities who may choose to settle trades through a Custodian shall be margined on an upfront basis as per the margining framework of non-institutional trades. Other institutional trades are margined on T+1 day subsequent to confirmation.

NEW QUESTION # 96
Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

A. A retail investor whose Trading Member clears F&O trades through Clearing Member 'X' and Cash trades through Clearing Member 'Y'.
B. An investor trading through two different Trading Members who both clear through the same Clearing Member.
C. A Portfolio Management Service (PMS) client who is mandatorily directed to enter into delivery-backed transactions.
D. An Institutional Investor (FPI Category l) trading through the same Trading Member and Clearing Member in both segments.
E. A retail investor whose Trading Member clears trades in both F&O and Cash segments through the same Clearing Member.

Answer: E

Explanation:
The benefit of netting (merged settlements) is available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available if the TM clears through different CMs. It is also not available for institutional investors (including FPIs) and participants like PMS mandated to enter delivery-backed transactions.

NEW QUESTION # 97
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
B. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
C. An investor trading through different Trading Members who use different Clearing Members.
D. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
E. All institutional investors including Foreign Portfolio Investors (FPIs).

Answer: D

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 98
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
B. Loss resulting from the breakdown of internal controls leading to unauthorized trading.
C. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
D. Risk arising from loans extended to group companies or debit balances of clients.
E. Disruption in settlement systems causing a crisis of confidence among investors.

Answer: D

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 99
Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
B. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
C. Automatic conversion of physical shares to demat shares on the pay-in date.
D. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
E. Automatic debit of the client's bank account for the value of securities short delivered.

Answer: D

Explanation:
For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

NEW QUESTION # 100
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