NISM-Series-VII Exam Cram & NISM-Series-VII VCE Dumps & NISM-Series-VII Latest Dumps

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NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) practice exam went through real-world testing with feedback from more than 90,000 global professionals before reaching its latest form. The NISM NISM-Series-VII Exam Dumps are similar to real exam questions. Our NISM-Series-VII practice test Pass4cram is suitable for computer users with a Windows operating system.

NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Clearing and Settlement- Clearing mechanisms
  • 1. Netting and settlement obligations
    • 2. Clearing corporations and counterparties
      - Settlement systems
      • 1. Margining and risk adjustments
        • 2. T+1/T+2 settlement cycles
          Topic 2: 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
                  Topic 3: Depository Operations- Corporate actions
                  • 1. Dividends, bonuses, splits
                    • 2. Record dates and entitlement processing
                      - Demat account framework
                      • 1. Account opening and maintenance
                        • 2. NSDL and CDSL roles
                          Topic 4: Risk Management in Securities Markets- Market and operational risk
                          • 1. Types of financial risks
                            • 2. Operational risk controls
                              - Risk mitigation systems
                              • 1. Surveillance and compliance mechanisms
                                • 2. Margins and collateral systems

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q208-Q213):

                                  NEW QUESTION # 208
                                  Regarding the operational obligations of a Portfolio Manager, which of the following statements regarding the maintenance of books, audit, and reporting to clients is legally accurate?

                                  Answer: B

                                  Explanation:
                                  The portfolio manager shall furnish periodically a report to the client, as agreed in the contract, but not exceeding a period of three months. The books of account will be audited yearly by a qualified auditor. Books must be maintained for 5 years.


                                  NEW QUESTION # 209
                                  Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

                                  Answer: A

                                  Explanation:
                                  The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.


                                  NEW QUESTION # 210
                                  In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

                                  Answer: B

                                  Explanation:
                                  Complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt through SCORES. The other options represent valid grievances against active intermediaries or listed companies.


                                  NEW QUESTION # 211
                                  When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

                                  Answer: B

                                  Explanation:
                                  As per the eligibility criteria for Partnership Firms, the applicant must identify a Dominant Promoter Group as per the norms of the Exchange at the time of making the application. Any change in the shareholding of the partnership firm, including that of the Dominant Promoter Group or their sharing interest, requires prior permission from the Exchange/SEBI.


                                  NEW QUESTION # 212
                                  Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
                                  (Select all that apply)

                                  Answer: A,C,E

                                  Explanation:
                                  Delivery Settlement applies to individual stock derivatives (not Index, which are cash settled). It considers all open futures positions after close of trading on expiry day and all in-the-money option contracts which are exercised and assigned. The final position at a clearing member is arrived at after netting the obligations of all clients/constituents/trading members clearing through the respective clearing member.


                                  NEW QUESTION # 213
                                  ......

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