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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 2: Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Topic 3: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 4: Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Topic 5: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 6: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices
Topic 7: Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Topic 8: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations

>> NISM-Series-VII Fragen Und Antworten <<

NISM-Series-VII Übungsmaterialien & NISM-Series-VII Fragenpool

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q135-Q140):

135. Frage
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from Stamp Duty and Registration Fees only.
B. Rebate on Corporate Tax for the first 2 years only.
C. Exemption from GST only.
D. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
E. Waiver of Import Duty on Gold and Silver only.

Antwort: D

Begründung:
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

136. Frage
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 1:30 PM on T+1 day
B. 9:00 AM on T+2 day
C. End of Day (EOD) on T day
D. 3:30 PM on T+1 day
E. 10:30 AM on T+1 day

Antwort: D

Begründung:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

137. Frage
While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

A. Index Futures
B. Currency Derivatives
C. Interest Rate Futures
D. Stock Options (Physical Settlement)
E. Index Options

Antwort: B

Begründung:
The daily and final settlement of derivative trades is generally done on T+1 working day basis, except for final settlement of currency derivatives segment, where final settlement takes place on a T+2 basis.

138. Frage
In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A. The application must be uploaded to the Exchange bidding platform.
B. The General Index Register (GIR) number must be verified.
C. The application monies must be blocked in the investor's bank account.
D. The syndicate member must issue a physical acknowledgement slip.
E. The physical form must be received by the Registrar.

Antwort: C

Begründung:
SEBI advised that 'the ASBA applications in public issues shall be processed only after the application monies are blocked in the investor's bank account.' Intermediaries are advised to ensure appropriate systemic and procedural arrangements for this.

139. Frage
Stock Exchanges are mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

A. Dedicated recording studios for documenting verbal grievances
B. Reimbursement of all travel and lodging expenses for attending hearings
C. A panel of three arbitrators physically present at the centre during market hours
D. Free legal representation by the Exchange's empanelled lawyers
E. Video-calling facility for attending online arbitration or Grievance Redressal meetings

Antwort: E

Begründung:
ISCS are required to provide arbitration and appellate arbitration facility including video-calling facility to investors for attending their online arbitration (including appellate arbitration) or Grievance Redressal meetings.

140. Frage
......

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