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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Topic 2: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Topic 3: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 4: Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q221-Q226):

質問 # 221
According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A. 2% of the order value
B. 5% of the trade value
C. 1% of the trade value
D. 10% of the order value
E. 20% of the shortage amount

正解：D

解説：
The source explicitly lists the contributions to the IPF. One such contribution is: 'Penalty collected from TMs for default in pay-in by an investor in an Offer For Sale (OFS) transaction - 10% of the order value.'

質問 # 222
When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A. It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.
B. It prevents members from trading in the derivatives segment during the cash market settlement.
C. It allows the Clearing Corporation to recalculate margins for the previous week.
D. It is required to separate institutional trades from retail trades.
E. It allows the stock exchange to close the market early.

正解：A

解説：
The sequential basis is adopted so that 'The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).'

質問 # 223
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. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
B. 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.
C. Net Worth of INR 6 Crore with no specific requirement on financial assets.
D. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
E. 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.

正解：B

解説：
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).

質問 # 224
A stock broker executes multiple trades for a client throughout the day in various securities. According to the clearing process regarding the balancing of client accounts within the broker's firm, how is the final obligation handled?

A. Client accounts are balanced weekly to determine the net obligation for the settlement cycle.
B. Netting is allowed only for institutional clients, while retail client accounts must be settled on a trade-to-trade basis.
C. Every trade is settled gross with the clearing corporation, and netting is strictly prohibited within the broker's books.
D. At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out is carried out.
E. The broker must segregate buy and sell transactions and settle them separately without offsetting.

正解：D

解説：
The source states: 'The stock brokers are allowed to net the clients account within the firm. At the end of the day, the position of each client is netted against all his transactions and the final pay-in/pay-out of securities/funds is carried out through clearing banks and depository participants.'

質問 # 225
Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A. The system should strictly allow order modification only after trade execution is confirmed by the back office.
B. The system should have the capability to generate reports relating to margin requirements and delivery obligations.
C. The system must have on-line real-time risk management for all orders placed on the exchange trading system.
D. The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
E. Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.

正解：B、C、E

解説：
The source specifies: 'The broker system should have an on-line risk management capability for all orders placed on the Exchange platform.' (Option A). 'The system should have pre-defined limits / checks such as Order Quantity and Value Limits... and only such orders which are within the parameters specified by the RMS are allowed to be pushed into exchange trading engines.' (Option C). 'The broker system should have capability to generate reports relating to margin requirements, payments, and delivery obligations.' (Option E).,

質問 # 226
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