Demo NISM-Series-VII Test - Exam NISM-Series-VII Pass Guide

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q139-Q144):

NEW QUESTION # 139
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

Answer: A

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).


NEW QUESTION # 140
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: B

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 # 141
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

Answer: A

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'


NEW QUESTION # 142
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

Answer: E

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'


NEW QUESTION # 143
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: E

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 # 144
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