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NISM NISM-Series-VII Exam Syllabus Topics:

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

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

NEW QUESTION # 176
Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A. Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
B. Execution of off-market trades between parties other than the related parties.
C. Opening a new beneficial owner account or a broking facility with another stock broker.
D. Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.
E. Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.

Answer: E

Explanation:
According to the source, the use of DDPI shall be limited only for specific purposes: 1) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries / settlement obligations; 2) Pledging / re-pledging of securities in favour of TMI CM for meeting margin requirements; 3) Mutual Fund transactions on stock exchange platforms; 4) Tendering shares in open offers. Conditions like transfer of funds or off-market trades are not covered under the limited purpose DDPI.

NEW QUESTION # 177
Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A. The AP must be a corporate body under the Companies Act, 2013.
B. The Trading Member must obtain specific prior approval for the AP for each segment separately.
C. The AP must register as a separate Trading Member with the Exchange.
D. The AP is legally liable for their own acts, completely absolving the Trading Member.
E. The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.

Answer: B

Explanation:
An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.

NEW QUESTION # 178
In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

A. By 7:30 AM on T+1 Day
B. By 9:00 AM on T+1 Day
C. By 1:30 PM on T+1 Day
D. By 4:15 PM on T Day
E. By 11:00 AM on T+1 Day

Answer: A

Explanation:
According to the general clearing process for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Following this, the Clearing Corporation performs multilateral netting and downloads final obligations by 9:00 a.m.

NEW QUESTION # 179
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
B. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
C. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
D. The CC matches the client level net obligations with the Block details provided by the depositories.
E. The CC matches the client's available margin in the cash segment with the value of securities blocked.

Answer: D

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 180
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 GST only.
B. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
C. Waiver of Import Duty on Gold and Silver only.
D. Rebate on Corporate Tax for the first 2 years only.
E. Exemption from Stamp Duty and Registration Fees only.

Answer: B

Explanation:
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.

NEW QUESTION # 181
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