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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q234-Q239):

NEW QUESTION # 234
In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A. It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
B. It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.
C. If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
D. It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
E. It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.

Answer: C

Explanation:
According to the product specifications for Interest Rate Derivatives, the final settlement price for single bond futures is the value weighted average price of the underlying bond based on prices during the last two hours of trading on NDS-OM. However, a specific fallback exists: 'If less than 5 trades are executed in the underlying bond during the last two hours of trading, then FIMMDA/FBIL price shall be used for final settlement.'

NEW QUESTION # 235
The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A. Call Money market is meant for overnight lending and borrowing.
B. Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
C. Commercial Papers (CPs) can be issued for maturities exceeding 1 year.
D. Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
E. Term Money market involves lending and borrowing for a period between 15 days and 1 year.

Answer: A,B,D,E

Explanation:
Call Money is predominantly overnight. Notice Money is for 2-14 days. Term Money is for 15 days to 1 year. Certificate of Deposits (CDs) can be issued by All India Financial Institutions for a period not less than 1 year and not exceeding 3 years (Banks issue for up to 1 year). Commercial Papers (CPs) are issued for maturities between 7 days and one year; thus, option E is incorrect.

NEW QUESTION # 236
Under the framework where Unified Payment Interface (UPI) is used as a payment mechanism with ASBA for public issues, individual investors can submit their bid-cum-application forms with UPI IDs to which of the following entities? (Select all that apply)

A. A Depository Participant (eligible for this activity)
B. The Reserve Bank of India designated cell
C. A Stock Broker registered with a recognised stock exchange (eligible for this activity)
D. A Registrar to an issue and share transfer agent (eligible for this activity)
E. A Syndicate Member

Answer: A,C,D,E

Explanation:
The text lists the entities to whom the bid-cum-application form with IJPI ID can be submitted: 'a syndicate member; a stock broker registered with a recognised stock exchange...; a depository participant...; a registrar to an issue and share transfer agent...'. RBI is not an entity for submission of forms.

NEW QUESTION # 237
To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A. By the 10th of the succeeding month
B. By the last day of the succeeding month
C. Within 21 days of the end of the quarter
D. By the 7th of the succeeding month
E. By the 15th of the succeeding month

Answer: D

Explanation:
All Stock Brokers shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by the seventh of the succeeding month, as per the SEBI provided format.

NEW QUESTION # 238
To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

A. Setting trading limits for individual clients based on their income tax returns only.
B. Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
C. Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
D. Ensuring the front office staff executes orders without intervention from the risk department.
E. Reporting compliance exceptions to the sales team for immediate rectification.

Answer: B

Explanation:
The source states that regarding the assessment of the effectiveness of strategies, policies and procedures: 'Material changes to methodologies, models, and assumptions of risk management and control policies should be reviewed by the governing body.' It also involves considering results of established policies and changes in business activities/markets.

NEW QUESTION # 239
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