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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 2: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 4: 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 5: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 6: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q281-Q286):

NEW QUESTION # 281
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Penalties credited to Core SGF.
B. Capped additional contribution by non-defaulting members.
C. Clearing Member Primary Contribution.
D. Stock Exchange contribution to Core SGF.
E. Clearing Corporation resources equal to 5% of the segment MRC.

Answer: E

Explanation:
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

NEW QUESTION # 282
Which of the following statements accurately describe the operational mechanisms and participants of the Indian Money Market segments? (Select all that apply)

A. All India Financial Institutions can issue Certificates of Deposit (CDs) for a period not exceeding 1 year.
B. Notice Money transactions refer to borrowing for a period specifically between 15 days and 1 year.
C. Call money market transactions are restricted to Scheduled Commercial Banks (SCBs) and Primary Dealers (PDs).
D. Treasury Bills (T-bills) are zero coupon securities issued at a discount and traded on the NDS-OM platform.
E. Repo transactions against Government Securities are traded/reported on the Clearcorp Repo Order Matching System (CROMS).

Answer: C,D,E

Explanation:
Statement A is correct as the call money market is restricted to SCBs and PDs. Statement C is correct as Repo transactions against G-secs are traded/reported on CROMS. Statement E is correct as T-bills are zero coupon securities traded on NDS-OM. Statement B is incorrect because Notice Money is for up to 14 days, whereas 15 days to 1 year is Term Money. Statement D is incorrect because All India Financial Institutions can issue CDs for a period not less than 1 year and not exceeding 3 years.

NEW QUESTION # 283
Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A. Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
B. Market makers are appointed solely by SEBI and not by the Exchanges
C. Market makers are required to provide only buy quotes to ensure exit options for investors
D. Market making is restricted to the derivatives segment only
E. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges

Answer: A

Explanation:
While market making operates under guidelines, for Small and Medium Enterprise (SME) Exchanges, market making has been made mandatory in respect of all scrips listed and traded on the SME Exchange. Their main responsibility is to provide two-way (buy and sell) quotes.

NEW QUESTION # 284
To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

A. Reporting compliance exceptions to the sales team for immediate rectification.
B. Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
C. Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
D. Ensuring the front office staff executes orders without intervention from the risk department.
E. Setting trading limits for individual clients based on their income tax returns only.

Answer: B

Explanation:
The source states that regarding the assessment of the effectiveness of strategies, policies and procedures: 'Material changes to methodologies, models, and assumptions of risk management and control policies should be reviewed by the governing body.' It also involves considering results of established policies and changes in business activities/markets.

NEW QUESTION # 285
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Strictly through in-person meetings at the broker's branch office.
B. Through SMS on to the mobile phone.
C. Via recorded voice messages on landline telephones only.
D. Only through the official website of the Stock Exchange.
E. Exclusively through physical contract notes sent via post.

Answer: B

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 286
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