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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Topic 2: Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Topic 3: Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 4: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q295-Q300):

NEW QUESTION # 295
Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A. The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
B. The system should strictly allow order modification only after trade execution is confirmed by the back office.
C. Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
D. The system should have the capability to generate reports relating to margin requirements and delivery obligations.
E. The system must have on-line real-time risk management for all orders placed on the exchange trading system.

Answer: C,D,E

Explanation:
The source specifies: 'The broker system should have an on-line risk management capability for all orders placed on the Exchange platform.' (Option A). 'The system should have pre-defined limits / checks such as Order Quantity and Value Limits... and only such orders which are within the parameters specified by the RMS are allowed to be pushed into exchange trading engines.' (Option C). 'The broker system should have capability to generate reports relating to margin requirements, payments, and delivery obligations.' (Option E).,

NEW QUESTION # 296
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must provide a Bank Guarantee equivalent to 50% of the claim value.
B. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
C. They must obtain an indemnity bond from the investor for the full claim amount.
D. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
E. They must pay a non-refundable arbitration fee of Rs. 25,000.

Answer: B

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 297
Regarding the limitation period for filing complaints, what is the maximum time period from the 'date of cause of action' within which an investor must lodge a complaint on SCORES, provided they have first approached the concerned entity and are unsatisfied with the response?

A. Five years
B. One year
C. Six months
D. Three years
E. Two years

Answer: B

Explanation:
In line with enhancing ease, speed, and accuracy, the investor may lodge a complaint on SCORES within one year from the date of cause of action, provided specific conditions (like rejection by the entity or non-receipt of communication) are met.

NEW QUESTION # 298
A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A. The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
B. The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
C. The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
D. The actual settlement of funds must be done at least once in a financial year.
E. The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.

Answer: E

Explanation:
According to the guidelines for Mode of Payment and Delivery from Clients, the authorization for maintaining a running account shall be signed by the client only and not by any Authorized Person on his behalf or any holder of the Power of Attorney. The authorization must be dated and revocable, and actual settlement must happen at least once in a calendar quarter or month.

NEW QUESTION # 299
Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?

A. It is a manual process of verifying contract notes against trade logs to ensure accuracy.
B. It is a mechanism for retail clients to directly settle trades with the Clearing Corporation.
C. It involves electronically capturing and processing transactions in one pass, from the point of first 'deal' to final settlement, avoiding manual re-entry.
D. It is a risk management tool used exclusively by the Front Office to block erroneous orders before they reach the exchange.
E. It refers to the process of auctioning securities in case of delivery shortages.

Answer: C

Explanation:
STP is defined as 'electronically capturing and processing transactions in one pass, from the point of first deal' to final settlement'. It involves the use of a single system to process elements of the workflow, streamlining trade execution and settlement and avoiding manual entry/re-entry.

NEW QUESTION # 300
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