New Guide NISM-Series-VII Files & NISM-Series-VII Latest Exam Labs

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q308-Q313):

NEW QUESTION # 308
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must provide a Bank Guarantee equivalent to 50% of the claim value.
B. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
C. They must pay a non-refundable arbitration fee of Rs. 25,000.
D. They must obtain an indemnity bond from the investor for the full claim amount.
E. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).

Answer: E

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 309
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Eligibility for priority sector lending classification
B. Exemption from RBI's CRR/SLR computation
C. Automatic guarantee by the Central Government
D. Exemption from Securities Transaction Tax (STT)
E. Waiver of stamp duty on the underlying collateral

Answer: B

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 310
In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A. It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.
B. It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
C. It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.
D. It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
E. It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.

Answer: A

Explanation:
Clients can give 'Demat Debit and Pledge Instruction' (DDPI) under which they explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose for transferring securities from their individual demat account to brokers pool account for the purpose of meeting their pay-in obligation. This serves to mitigate the misuse associated with the broader Power of Attorney (PoA),.

NEW QUESTION # 311
To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

A. Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
B. Ensuring the front office staff executes orders without intervention from the risk department.
C. Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
D. Reporting compliance exceptions to the sales team for immediate rectification.
E. Setting trading limits for individual clients based on their income tax returns only.

Answer: C

Explanation:
The source states that regarding the assessment of the effectiveness of strategies, policies and procedures: 'Material changes to methodologies, models, and assumptions of risk management and control policies should be reviewed by the governing body.' It also involves considering results of established policies and changes in business activities/markets.

NEW QUESTION # 312
Based on the 'Cyber Security and Cyber Resilience Framework (CSCRF)' for Stock Brokers, which of the following correctly match the 'Cyber Resiliency Goals' with their definitions? (Select all that apply)

A. Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts of adversary attacks.
B. Withstand: Restore business functions to the maximum extent subsequent to adversary attacks.
C. Recover: Continue essential business functions at times of adversary attacks.
D. Anticipate: Maintain a state of informed preparedness from adversary attacks.
E. Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.

Answer: A,D,E

Explanation:
The CSCRF defines the goals as follows: 'Anticipate' is maintaining informed preparedness. 'Withstand' is continuing essential business functions during attacks (Option B is incorrect as it describes Recover). 'Contain' is localizing the crisis. 'Recover' is restoring business functions (Option D is incorrect as it describes Withstand). 'Evolve' is changing functions to minimize adverse impacts.

NEW QUESTION # 313
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