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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
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
          Depository Operations- Demat account framework
          • 1. NSDL and CDSL roles
            • 2. Account opening and maintenance
              - Corporate actions
              • 1. Dividends, bonuses, splits
                • 2. Record dates and entitlement processing
                  Securities Market Operations- Market participants and structure
                  • 1. Order types and trading mechanism basics
                    • 2. Roles of brokers, exchanges, and investors
                      - Trading process
                      • 1. Trade confirmation and reporting
                        • 2. Order execution and trade lifecycle
                          Clearing and Settlement- Settlement systems
                          • 1. T+1/T+2 settlement cycles
                            • 2. Margining and risk adjustments
                              - 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 (Q26-Q31):

                                  NEW QUESTION # 26
                                  Regarding the beta version of the T+0 rolling settlement cycle introduced on an optional basis, which of the following operational parameters is mandated by SEBI?

                                  Answer: A

                                  Explanation:
                                  For the T+0 settlement cycle: There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle. Additionally, trade timings are 09:15 AM to 1 PM, the price band is +100 basis points from the T+1 price, and security shortages are directly closed out (no auction).


                                  NEW QUESTION # 27
                                  Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

                                  Answer: E

                                  Explanation:
                                  A Trading Member.cum.Clearing Member (TCM) has trading as well as clearing rights. They can clear and settle their own trades as well as trades of other trading members and custodial participants. SCMs can only clear their own/client trades but not for custodian participants. PCMs do not have trading rights.


                                  NEW QUESTION # 28
                                  In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

                                  Answer: E

                                  Explanation:
                                  The source specifies that in certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples provided include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window etc.'


                                  NEW QUESTION # 29
                                  While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

                                  Answer: B

                                  Explanation:
                                  The daily and final settlement of derivative trades is generally done on T+1 working day basis, except for final settlement of currency derivatives segment, where final settlement takes place on a T+2 basis.


                                  NEW QUESTION # 30
                                  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: A

                                  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 # 31
                                  ......

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