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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q224-Q229):

NEW QUESTION # 224
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A. A3
B. AAA
C. A1
D. BBB
E. A2

Answer: A

Explanation:
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.

NEW QUESTION # 225
Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A. For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
B. For clients who have a credit balance of less than Rs. 10,000.
C. For clients trading in the derivatives segment with open positions, even if they have excess free cash.
D. For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
E. For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.

Answer: A

Explanation:
Such periodic settlement of running account may not be necessary for clients availing margin trading facility (MTF) as per SEBI circular, to the extent of funds/securities relating to MTF used by client. It is also not necessary for funds received in the form of BG/FDR or for institutional clients settling trades through custodians.

NEW QUESTION # 226
According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
B. Net Worth of INR 6 Crore with no specific requirement on financial assets.
C. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
D. Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
E. Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.

Answer: E

Explanation:
To be an Accredited Investor, an entity must meet one of the following criteria: (i) Annual Income >= INR 2 Crore; (ii) Net Worth INR 7.5 Crore (with at least INR 3.75 Crore in financial assets); or (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore (with at least INR 2.5 Crore in financial assets). Option C meets criterion (iii). Option A fails (Income < 2 Cr). Option B fails (Financial Assets < 3.75 Cr). Option D fails (Net Worth < 7.5 Cr and no financial asset proof). Option E fails (Income < 1 Cr and Financial Assets < 3.75 Cr for the Net Worth only criteria).

NEW QUESTION # 227
Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A. Funds can be withdrawn only in the self-name of the clearing member.
B. Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
C. Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
D. Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
E. Withdrawals are limited to 50% of the account balance on any given day.

Answer: A

Explanation:
According to the source, 'Clearing members can deposit funds into these accounts in any form and can withdraw funds from these accounts only in self-name'. This account is to be used exclusively for clearing and settlement operations.

NEW QUESTION # 228
Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
B. To test the operational capability of the backup disaster recovery site.
C. To determine the daily settlement price of illiquid futures contracts.
D. To calculate the historical volatility of the most liquid securities over the past 5 years.
E. To validate the accuracy of the software used for margin calculation.

Answer: A

Explanation:
The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.

NEW QUESTION # 229
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