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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 2: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 4: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 6: 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 NISM-Series-VII Prüfungsfragen mit Lösungen (Q203-Q208):

203. Frage
Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

A. Margins are collected only in the form of cash equivalents deposited with the Clearing Bank.
B. Margins are collected on T+1 day before the pay-in of funds.
C. Margins are collected at the end of the trading day via a debit to the settlement account.
D. Margins are calculated weekly and adjusted against the Base Minimum Capital.
E. Margins are adjusted from the liquid assets of a clearing member on a real-time basis.

Antwort: E

Begründung:
The source states that the clearing member is required to pay upfront margin to the clearing corporation. The margins shall be collected/adjusted from the liquid assets of a clearing member on a real-time basis.

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

Antwort: E

Begründung:
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.

205. Frage
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
B. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
C. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
D. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
E. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.

Antwort: A

Begründung:
According to the block mechanism framework, if a sale transaction is not executed, the shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day. This eliminates the movement of shares from the client's demat account for early pay- in and back if the trade is not executed.

206. Frage
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. High Net Worth Individuals (HNls) who have provided a written waiver.
B. Clients trading in the derivatives segment only.
C. Clients who have logged into their trading account at least once in the last 30 days.
D. Clients who have a credit balance of less than Rs. 1 lakh.
E. Institutional clients settling trades through custodians.

Antwort: E

Begründung:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

207. Frage
A Trading Member executes the following trades in a specific scrip on a given day:
* Buy 500 shares @ Rs. 100
* Sell 300 shares @ Rs. 105
* Buy 200 shares @ Rs. 95
What are the final Net Quantity and Net Fund obligations for the member to be settled with the Clearing Corporation?

A. Net Qty: 400 (Receive); Net Funds: Pay Rs. 69,000
B. Net Qty: 1000 (Receive); Net Funds: Pay Rs. 100,500
C. Net Qty: 400 (Deliver); Net Funds: Receive Rs. 37,500
D. Net Qty: 400 (Receive); Net Funds: Pay Rs. 37,500
E. Net Qty: 0; Net Funds: Receive Rs. 1,500

Antwort: D

Begründung:
Net Quantity:
Total Buy = 500 + 200 = 700.
Total Sell = 300.
Net Qty = 700 - 300 = 400 (Buy/Receive).
Net Funds:
Outflow (Buy) = + (200*95) = 50,000 + 19,000 = Rs. 69,000.
Inflow (Sell) = 300*105 = Rs. 31 ,500.
Net Funds = Inflow - Outflow = 31 ,500 - 69,000 = -37,500.
Negative implies Pay Rs. 37,500.

208. Frage
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