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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Investor protection
  • 2. Regulatory oversight
Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Procedures for handling complaints
  • 2. Regulatory requirements
Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Settlement processing
  • 2. Trade execution
  • 3. Risk management
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
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 (Q238-Q243):

NEW QUESTION # 238
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

Answer: D

Explanation:
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.


NEW QUESTION # 239
Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

Answer: A,B,E

Explanation:
Option A is correct: 'The Market Participant shall not shift the incidence of such fees to the investor/client at any time'. Option B is correct: 'Initiation of conciliation process after six months... will require payment of Rs 1000/- by the initiator'. Option C is correct: When the value of claim... is Rs 1 or below... Sole Arbitrator shall conduct a document-only arbitration process'. Option D is incorrect as allocation is via a 'round-robin system'. Option E is incorrect as fees are borne directly by the Market Participant if it is initiating the process.


NEW QUESTION # 240
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

Answer: B

Explanation:
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).


NEW QUESTION # 241
Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

Answer: A

Explanation:
Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.


NEW QUESTION # 242
In the context of Settlement Dues, the clearing agency pays moneys payable to clearing members and custodians for every settlement. What is the specific basis for determining these payable amounts?

Answer: E

Explanation:
The text mentions: 'In turn, the clearing agency shall pay to the clearing members and custodians moneys payable to them for every settlement for their transactions / positions. This is based on the information provided by the Exchange or Clearing Agency.'


NEW QUESTION # 243
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