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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Trade execution
  • 2. Settlement processing
  • 3. Risk management
Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Clearing and settlement process
  • 2. Role of the back office in a securities broking firm
Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q265-Q270):

NEW QUESTION # 265
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

Answer: B

Explanation:
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.


NEW QUESTION # 266
Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

Answer: C

Explanation:
Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.


NEW QUESTION # 267
When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

Answer: E

Explanation:
Between a Trading Web Server and Trading Client Terminals, Interfaces Standards as per recommendations of IETF (Internet Engineering Task Force) and W3C (World Wide Web Consortium) may be adopted. E.g.: HTTP Ver 4 or above HTML Ver 4/XML.


NEW QUESTION # 268
Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

Answer: A,D,E

Explanation:
Statement A is correct (Net worth min Rs. 3 Cr). Statement C is correct (Prior permission required). Statement E is correct (Disclosure by 6 PM on T+1 day). Statement B is incorrect because the single client exposure limit is 10%, not 20%. Statement D is incorrect because Collateral and Funded stocks shall be marked to market on a daily basis.


NEW QUESTION # 269
Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

Answer: D

Explanation:
The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.


NEW QUESTION # 270
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