NISM Series VII - Securities Operations and Risk Management Certification pdf vce dumps & NISM-Series-VII free download training collection

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Depository Operations- Demat account framework
  • 1. NSDL and CDSL roles
    • 2. Account opening and maintenance
      - Corporate actions
      • 1. Record dates and entitlement processing
        • 2. Dividends, bonuses, splits
          Securities Market Operations- Trading process
          • 1. Order execution and trade lifecycle
            • 2. Trade confirmation and reporting
              - Market participants and structure
              • 1. Order types and trading mechanism basics
                • 2. Roles of brokers, exchanges, and investors
                  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
                          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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q159-Q164):

                                  NEW QUESTION # 159
                                  In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

                                  Answer: A

                                  Explanation:
                                  The source states: 'The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).'


                                  NEW QUESTION # 160
                                  A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

                                  Answer: C

                                  Explanation:
                                  According to the leverage and exposure limits for margin trading: 1) The total indebtedness of a broker for the purpose of margin trading shall not exceed 5 times of his net worth (5 10 Cr = 50 Cr). 2) The maximum allowable exposure of the broker towards the margin trading facility shall not exceed the borrowed funds and 50% of his 'net worthe (Borrowed Funds + 50% of 10 Cr = Borrowed Funds + 5 Cr).


                                  NEW QUESTION # 161
                                  Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

                                  Answer: D

                                  Explanation:
                                  For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.


                                  NEW QUESTION # 162
                                  Under the 'Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)', which of the following statements correctly describes the permissibility of different cloud deployment models?

                                  Answer: A

                                  Explanation:
                                  The framework clarifies that a Private Cloud shall be considered as an on-premise deployment and consequently, private cloud deployments shall be governed by SEBI circulars (e.g., cyber security, outsourcing, BCP-DR) issued from time to time, and may not be governed by the specific cloud framework. Public, Community, and Hybrid clouds are permitted subject to conditions.


                                  NEW QUESTION # 163
                                  According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

                                  Answer: A,B,C

                                  Explanation:
                                  The source states: 'A clearing member... shall render him liable for withdrawal of trading facility [Option A] or such other actions including disciplinary actions [Option B], as may be decided by the Relevant Authority [Option D].'


                                  NEW QUESTION # 164
                                  ......

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