NISM - Trustable NISM-Series-VII - Test NISM Series VII - Securities Operations and Risk Management Certification Price

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Risk Management in Securities Markets- Market and operational risk
  • 1. Types of financial risks
    • 2. Operational risk controls
      - Risk mitigation systems
      • 1. Surveillance and compliance mechanisms
        • 2. Margins and collateral systems
          Topic 2: Securities Market Operations- Trading process
          • 1. Order execution and trade lifecycle
            • 2. Trade confirmation and reporting
              - Market participants and structure
              • 1. Order types and trading mechanism basics
                • 2. Roles of brokers, exchanges, and investors
                  Topic 3: 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 4: Depository Operations- Demat account framework
                          • 1. NSDL and CDSL roles
                            • 2. Account opening and maintenance
                              - 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 Sample Questions (Q163-Q168):

                                  NEW QUESTION # 163
                                  Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

                                  Answer: C,D,E

                                  Explanation:
                                  Statement A is correct: The facility is mandatory for all EPI transactions. Statement D is correct: Depositories provide details to CCs for EPI. Statement E is correct: Blocking can be done via online system, eDIS, or physical DIS. Statement B is incorrect because for unmatched orders, CCs upload cancellation on day", not T+1. Statement C is incorrect because Pool to Pool transfers are **not permitted** except from TM pool to CM pool.


                                  NEW QUESTION # 164
                                  The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

                                  Answer: B

                                  Explanation:
                                  The source explicitly mentions: 'This process shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.'


                                  NEW QUESTION # 165
                                  Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

                                  Answer: A

                                  Explanation:
                                  Accredited Investors are entitled to benefits such as participating in investment products with an investment amount lesser than the minimum amount mandated in the respective Regulations ('lower ticket size') and relaxation from certain regulatory requirements ('regulation-light framework')-.


                                  NEW QUESTION # 166
                                  According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

                                  Answer: D

                                  Explanation:
                                  As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.


                                  NEW QUESTION # 167
                                  Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

                                  Answer: B,D,E

                                  Explanation:
                                  According to the SEBI (Foreign Portfolio Investors) Regulations, 2019, Category I FPls include Government and Government related investors (Option E), Pension funds and university funds (Option A), and Entities from FATF member countries (Option C). Charitable organizations and Corporate bodies fall under Category II.


                                  NEW QUESTION # 168
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