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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q173-Q178):

NEW QUESTION # 173
Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A. Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
B. Seven years from the date of the suspicious transaction report filing.
C. Five years from the date of the specific transaction.
D. Ten years from the date of account opening.
E. Two years from the date of the last transaction in the account.

Answer: A

Explanation:
The PMLA stipulates two different retention periods. Records of transactions must be maintained for five years from the date of transaction. However, records of documents evidencing identity of clients and beneficial owners must be maintained for five years after the business relationship has ended or the account has been closed, whichever is later.

NEW QUESTION # 174
Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
B. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
C. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
D. The DIS must be signed only by the primary holder in case of joint accounts.
E. The DIS must be counter-signed by a SEBI registered official.

Answer: A

Explanation:
A beneficiary account can be debited only if the beneficial owner has given 'Delivery Instruction Slip' (DIS) in the prescribed form. The DIS for an off-market trade or for a market trade has to be clearly indicated in the form by marking appropriately.

NEW QUESTION # 175
According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A. The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.
B. The person has been convicted of an offence involving fraud or dishonesty.
C. The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.
D. The person has compounded with their creditors for less than full discharge of debts.
E. The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.

Answer: A,B,C,D

Explanation:
Options A, B, C, and D are explicit disqualifications for membership under the regulations. An entity is ineligible if adjudged bankrupt, compounded with creditors for less than full discharge, convicted of fraud/dishonesty, or engaged in other business involving personal financial liability (unless they undertake to sever connections). Option E is incorrect as an LLP is eligible to be admitted as a member provided it meets the financial requirements and norms specified by SEBI.

NEW QUESTION # 176
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.
B. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
C. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
D. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
E. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.

Answer: B

Explanation:
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

NEW QUESTION # 177
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A. Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.
B. Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
C. For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
D. Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
E. Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.

Answer: A,C,E

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.

NEW QUESTION # 178
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