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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Risk Management in Securities Markets- Market and operational risk
  • 1. Types of financial risks
    • 2. Operational risk controls
      - Risk mitigation systems
      • 1. Margins and collateral systems
        • 2. Surveillance and compliance mechanisms
          Depository Operations- Demat account framework
          • 1. Account opening and maintenance
            • 2. NSDL and CDSL roles
              - Corporate actions
              • 1. Dividends, bonuses, splits
                • 2. Record dates and entitlement processing
                  Clearing and Settlement- Clearing mechanisms
                  • 1. Netting and settlement obligations
                    • 2. Clearing corporations and counterparties
                      - Settlement systems
                      • 1. T+1/T+2 settlement cycles
                        • 2. Margining and risk adjustments
                          Securities Market Operations- Market participants and structure
                          • 1. Roles of brokers, exchanges, and investors
                            • 2. Order types and trading mechanism basics
                              - Trading process
                              • 1. Order execution and trade lifecycle
                                • 2. Trade confirmation and reporting

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q165-Q170):

                                  NEW QUESTION # 165
                                  According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

                                  Answer: A

                                  Explanation:
                                  SEBI vide circular dated April 05, 2022, decided that 'all Individual Investors applying in Public issues where the application amount is upto 5 Lakhs shall use UPI and shall also provide their UPI ID in the bid-cum-application form'.


                                  NEW QUESTION # 166
                                  Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

                                  Answer: A,B,D

                                  Explanation:
                                  According to the SEBI (Foreign Portfolio Investors) Regulations, 2019, Category I FPls include Government and Government related investors (Option E), Pension funds and university funds (Option A), and Entities from FATF member countries (Option C). Charitable organizations and Corporate bodies fall under Category II.


                                  NEW QUESTION # 167
                                  Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

                                  Answer: A,C,D

                                  Explanation:
                                  Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.


                                  NEW QUESTION # 168
                                  In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

                                  Answer: E

                                  Explanation:
                                  Complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt through SCORES. The other options represent valid grievances against active intermediaries or listed companies.


                                  NEW QUESTION # 169
                                  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?

                                  Answer: C

                                  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 # 170
                                  ......

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