NISM-Series-VII Latest Test Bootcamp, Exam NISM-Series-VII Papers

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: Clearing and Settlement- Clearing mechanisms
          • 1. Clearing corporations and counterparties
            • 2. Netting and settlement obligations
              - Settlement systems
              • 1. Margining and risk adjustments
                • 2. T+1/T+2 settlement cycles
                  Topic 3: 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 4: Depository Operations- Corporate actions
                          • 1. Record dates and entitlement processing
                            • 2. Dividends, bonuses, splits
                              - Demat account framework
                              • 1. NSDL and CDSL roles
                                • 2. Account opening and maintenance

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                                  Exam NISM-Series-VII Papers - Vce NISM-Series-VII Exam

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q253-Q258):

                                  NEW QUESTION # 253
                                  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: C

                                  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 # 254
                                  When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

                                  Answer: C

                                  Explanation:
                                  With a view to minimizing fraction settlements, the methodology adopted includes carrying out rounding off for the Strike Price to the nearest tick size and Market Lot to the nearest integer.


                                  NEW QUESTION # 255
                                  Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

                                  Answer: C

                                  Explanation:
                                  The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'


                                  NEW QUESTION # 256
                                  Which of the following instruments allow Indian companies to raise resources from international capital markets?

                                  Answer: A,B,D,E

                                  Explanation:
                                  Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bondsโ€ž,. IDRs are used by foreign companies to raise capital from Indian markets.


                                  NEW QUESTION # 257
                                  Which of the following statements correctly describe the logic for blocking margins from collateral for different types of trades under the client collateral segregation framework? (Select all that apply)

                                  Answer: A,B,C

                                  Explanation:
                                  Statement A is correct: Client trade margin logic is Client Collateral -> TM Prop -> CM Prop. Statement B is correct: TM Prop trade margin logic is TM Prop CM Prop. Statement C is correct: CM Prop trade margin logic is CM Prop only. Statement D is incorrect because client collateral is segregated and cannot be used for other clients or prop trades. Statement E is incorrect as it refers to the default waterfall, not the initial blocking logic.


                                  NEW QUESTION # 258
                                  ......

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