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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q176-Q181):

NEW QUESTION # 176
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 monies must be blocked in the investor's bank account.
B. The physical form must be received by the Registrar.
C. The syndicate member must issue a physical acknowledgement slip.
D. The General Index Register (GIR) number must be verified.
E. The application must be uploaded to the Exchange bidding platform.

Answer: A

Explanation:
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.

NEW QUESTION # 177
When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

A. FTP Ver 2 or above and SMTP
B. HTTP Ver 4 or above and HTML Ver 4/XML
C. WAP 1.0 and WML only
D. POP3 and IMAP protocols
E. Telnet and Gopher protocols

Answer: B

Explanation:
Between a Trading Web Server and Trading Client Terminals, Interfaces Standards as per recommendations of IETF (Internet Engineering Task Force) and W3C (World Wide Web Consortium) may be adopted. E.g.: HTTP Ver 4 or above HTML Ver 4/XML.

NEW QUESTION # 178
In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A. Trading cum Self-clearing Member (SCM)
B. Trading Member (TM)
C. Authorized Person (AP)
D. Professional Clearing Member (PCM)
E. Trading Member-cum-Clearing Member (TCM)

Answer: D

Explanation:
A Professional Clearing Member (PCM) has only clearing rights and does not have trading rights. They clear and settle trades executed by trading members and custodian participants. A TCM has both trading and clearing rights. An SCM clears only their own trades. A TM has no clearing rights.

NEW QUESTION # 179
In the context of the Cash Market segment, how is the role of a 'Custodian' distinct from that of a standard Trading Member regarding the settlement of trades?

A. Custodians automatically guarantee all trades executed by any Trading Member without the need for trade confirmation.
B. Custodians settle trades only for retail clients who do not have a valid PAN.
C. Custodians act as Clearing Members but not Trading Members; they settle trades on behalf of institutional clients executed through other Trading Members.
D. Custodians execute trades on the exchange floor but outsource the clearing function to Professional Clearing Members.
E. Custodians are primarily responsible for the proprietary trading of the Clearing Corporation.

Answer: C

Explanation:
The text defines Custodians as: 'Custodians are also clearing members like PCMs but not trading members. They settle trades on behalf of the clients of the trading members, when a particular trade is assigned to them for settlement.' This specifically applies to institutional clients.

NEW QUESTION # 180
An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?

A. If the applicant is a Body Corporate with a Net Worth INR 50 Crore
B. If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application
C. If the applicant submits a bank guarantee equivalent to the net worth requirement
D. If the applicant meets the eligibility criteria in each of the preceding two financial years
E. If the applicant meets the eligibility criteria for the preceding one financial year

Answer: D

Explanation:
The validity of the accreditation certificate depends on the financial history: If the applicant meets the eligibility criteria for the preceding one financial year, the validity is two years. If the applicant meets the eligibility criteria in each of the preceding two financial years, the validity is three years. Newly incorporated entities meeting net-worth criteria get a two-year validity.

NEW QUESTION # 181
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