NISM-Series-VII Latest Exam Materials - Exam NISM-Series-VII Success

BTW, DOWNLOAD part of Fast2test NISM-Series-VII dumps from Cloud Storage: https://drive.google.com/open?id=1lxHYlMjAUKQ181C-s_kycCgDn4tAQHH1

You will fail and waste time and money if you do not prepare with real and updated NISM NISM-Series-VII Questions. You should practice with actual NISM-Series-VII exam questions that are aligned with the latest content of the NISM-Series-VII test. These NISM NISM-Series-VII exam questions remove the need for you to spend time on unnecessary or irrelevant material, allowing you to complete your NISM-Series-VII Certification Exam preparation swiftly. You can save time and clear the NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) test in one sitting if you skip unnecessary material and focus on our NISM-Series-VII actual questions.

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

>> NISM-Series-VII Latest Exam Materials <<

Pass Guaranteed Quiz 2026 NISM Perfect NISM-Series-VII Latest Exam Materials

Our passing rate is very high to reach 99% and our NISM-Series-VII exam torrent also boost high hit rate. Our NISM-Series-VII study questions are compiled by authorized experts and approved by professionals with years of experiences. Our NISM-Series-VII study questions are linked tightly with the exam papers in the past and conform to the popular trend in the industry. Thus we can be sure that our NISM-Series-VII Guide Torrent are of high quality and can help you pass the NISM-Series-VII exam with high probability.

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q164-Q169):

NEW QUESTION # 164
Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A. Netting of delivery obligations is strictly for the purpose of settlement.
B. Clearing Corporations continue to maintain segment-wise default waterfalls.
C. The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
D. Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
E. Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.

Answer: A,B,C

Explanation:
Statement A is correct: Netting is available for non-institutional CPs clearing through the same entity registered as custodian in cash and CM in F&O. Statement B is incorrect: Investors whose TM clears through different CM/CC will not be able to avail the benefit. Statement C is incorrect: STT/Stamp Duty continue to be computed on a segment-wise level. Statement D is correct: Netting is only for the purpose of settlement. Statement E is correct: CCs continue to maintain segment-wise default waterfalls.

NEW QUESTION # 165
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
B. All existing contracts of the security shall be expired on the last cum date.
C. They continue to trade with adjusted strike prices until the original expiry date.
D. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
E. They are cash-settled immediately at the average price of the last 6 months.

Answer: B

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 166
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Exemption from RBI's CRR/SLR computation
B. Exemption from Securities Transaction Tax (STT)
C. Automatic guarantee by the Central Government
D. Waiver of stamp duty on the underlying collateral
E. Eligibility for priority sector lending classification

Answer: A

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 167
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
B. Risk arising from loans extended to group companies or debit balances of clients.
C. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
D. Disruption in settlement systems causing a crisis of confidence among investors.
E. Loss resulting from the breakdown of internal controls leading to unauthorized trading.

Answer: B

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 168
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Pledging of dematerialized securities & facilitating loans against shares
B. Underwriting of Initial Public Offers (IPOs)
C. Issuing equity research reports for the depository
D. Freezing of the demat account for debits, credits, or both
E. Receiving electronic credit in respect of securities allotted by issuers under IPO

Answer: A,D,E

Explanation:
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

NEW QUESTION # 169
......

If you are aiming to become a certified NISM NISM-Series-VII, you should prepare with actual exam questions and study guides. These study materials will enable you to pass the exam without much difficulty. NISM's practice exams will help you prepare well for the actual exam. The questions are updated and easy to understand. The test materials also consist of a realistic scenario that simulates the exam environment.

Exam NISM-Series-VII Success: https://www.fast2test.com/NISM-Series-VII-premium-file.html

DOWNLOAD the newest Fast2test NISM-Series-VII PDF dumps from Cloud Storage for free: https://drive.google.com/open?id=1lxHYlMjAUKQ181C-s_kycCgDn4tAQHH1