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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Clearing and Settlement	15%	- Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations
Topic 2: Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Topic 3: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 4: Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Topic 5: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations
Topic 6: Risk Management and Margining	18%	- Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies
Topic 7: Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Topic 8: Investor Protection	7%	- Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q80-Q85):

NEW QUESTION # 80
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 11:00 AM on T+1 Day
B. By 9:00 AM on T+1 Day
C. By 1:30 PM on T+1 Day
D. By 4:15 PM on T Day
E. By 7:30 AM on T+1 Day

Answer: E

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 81
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Only resident Qualified Institutional Buyers (QIBs).
B. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
C. Any resident individual irrespective of investment limit.
D. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
E. Residents are strictly prohibited from dealing in securities listed in IFSC.

Answer: B

Explanation:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

NEW QUESTION # 82
In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A. Internal shortages within a broker's firm that could not be resolved via self-auction.
B. Trades executed in the Block Deal window.
C. Shortages where the value is less than Rs. 1 Lakh.
D. Shortages arising from institutional trades not confirmed by the Custodian.
E. Shortages in liquid securities (Group l) where the impact cost is less than 1%.

Answer: B

Explanation:
The source specifies that in certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples provided include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window etc.'

NEW QUESTION # 83
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

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

Answer: B

Explanation:

NEW QUESTION # 84
Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A. It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.
B. It guarantees settlement of trades through the process of novation.
C. It executes client orders on the stock exchange platform on behalf of the trading members.
D. It calculates and controls the margining mechanism.
E. It reduces the number of payments due by netting transactions.

Answer: A,B,D,E

Explanation:
The Clearing Corporation guarantees settlement (novation), reduces payments via netting, provides dispute resolution/legal enforcement (buyers/sellers don't sue each other), and calculates/controls margining. Option D is incorrect because the Clearing Corporation does not execute orders; execution is the function of the Stock Exchange/Trading Members.

NEW QUESTION # 85
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