NISM-Series-VII Exam Certification | NISM-Series-VII Valid Exam Materials

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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Unparalleled NISM-Series-VII Exam Certification | Amazing Pass Rate For NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification | Updated NISM-Series-VII Valid Exam Materials

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q105-Q110):

NEW QUESTION # 105
A securities broking firm configures its Compliance Management System (CMS) to manage data retention policies in accordance with the Prevention of Money-Laundering Act (PMLA), 2002.
Review the JSON configuration snippet below regarding record retention timelines:

Based on the SEBI directives and PMLA provisions, which setting in the configuration is legally NON-COMPLIANT?

A. suspicious_transaction_reports: 5_years_from_reporting_date
B. All settings are compliant
C. client_identity_documents: 3_years_from_account_closure
D. transaction_records: 5_years_from_transaction_date
E. Both transaction_records and suspicious_transaction_reports

Answer: C

Explanation:
According to Section 12 of the PMLA, 2002, reporting entities must maintain records of documents evidencing the identity of clients and beneficial owners (e.g., account files, business correspondence) for a period of five years after the business relationship has ended or the account has been closed, whichever is later. The configuration setting of '3 years' is non-compliant.

NEW QUESTION # 106
Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

A. Listed corporate bonds rated 'AA' or above
B. Commercial Papers (CPs)
C. The participant's own securities or those of related entities
D. Certificates of Deposit (CDs)
E. Units of Debt Exchange Traded Funds (ETFs)

Answer: C

Explanation:
While listed corporate bonds, CPs, CDs, and Units of Debt ETFs are eligible securities for Corporate Bond Repo, participants cannot borrow against the collateral of their own securities or those of related entities.

NEW QUESTION # 107
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.
B. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
C. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
D. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
E. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.

Answer: D

Explanation:
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

NEW QUESTION # 108
Section 15A of the SEBI Act, 1992, prescribes penalties for failure to furnish information, returns, or reports. What is the specific penalty liability for a person who fails to furnish such documents within the specified time?

A. A penalty of ?1 Crore irrespective of the duration of the failure.
B. Not less than ? 1 Lakh but may extend to ?1 Lakh for each day during which such failure continues, subject to a maximum of ?1 Crore.
C. A fixed penalty of ?5 Lakhs plus ? 10,000 for every day of delay.
D. Imprisonment for a term which may extend to one year, or with fine, or with both.
E. Not less than ? 10 Lakhs but may extend to ?25 Crore depending on the severity of the failure.

Answer: B

Explanation:
Section 15A of the SEBI Act states that a person shall be liable to a penalty which shall not be less than one lakh rupees, but which may extend to one lakh rupees for each day during which such failure continues subject to a maximum of one crore rupees, if he fails to furnish any document, return or report to SEBI.

NEW QUESTION # 109
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A. 09:00 AM to 3:30 PM
B. 09:15AM to 1:30 PM
C. 09:15 AM to 3:30 PM
D. 10:00 AM to 2:00 PM
E. 09:15AM to 12:30 PM

Answer: B

Explanation:
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.

NEW QUESTION # 110
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