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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Clearing and settlement process
  • 2. Role of the back office in a securities broking firm
Topic 2: Risk Management- Risk management in a securities broking firm
  • 1. Identifying and mitigating risks
  • 2. Compliance and control measures
Topic 3: Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Topic 4: 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 5: Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
Topic 6: Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Procedures for handling complaints
  • 2. Regulatory requirements

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NISM NISM-Series-VII Latest Mock Test | Detailed NISM-Series-VII Study Dumps

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q58-Q63):

NEW QUESTION # 58
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,C,E

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 # 59
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

Answer: D

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.


NEW QUESTION # 60
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

Answer: A

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.


NEW QUESTION # 61
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

Answer: D

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.


NEW QUESTION # 62
Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

Answer: B

Explanation:
While listed corporate bonds, CPs, CDs, and Units of Debt ETFs are eligible securities for Corporate Bond Repo, participants cannot borrow against the collateral of their own securities or those of related entities.


NEW QUESTION # 63
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