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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q71-Q76):

NEW QUESTION # 71
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients who have logged into their trading account at least once in the last 30 days.
B. Clients who have a credit balance of less than Rs. 1 lakh.
C. High Net Worth Individuals (HNls) who have provided a written waiver.
D. Institutional clients settling trades through custodians.
E. Clients trading in the derivatives segment only.

Answer: D

Explanation:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

NEW QUESTION # 72
According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A. The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.
B. The person has compounded with their creditors for less than full discharge of debts.
C. The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.
D. The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.
E. The person has been convicted of an offence involving fraud or dishonesty.

Answer: A,B,D,E

Explanation:
Options A, B, C, and D are explicit disqualifications for membership under the regulations. An entity is ineligible if adjudged bankrupt, compounded with creditors for less than full discharge, convicted of fraud/dishonesty, or engaged in other business involving personal financial liability (unless they undertake to sever connections). Option E is incorrect as an LLP is eligible to be admitted as a member provided it meets the financial requirements and norms specified by SEBI.

NEW QUESTION # 73
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. At least 20% of the listing fees received.
B. Penalty collected from Trading Members for deficiency in modification of client code.
C. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
D. Penalties collected from listed companies for non-compliance with LODR Regulations.
E. 1% of the listing fees received, on a quarterly basis.

Answer: B,C,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 74
In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A. A2
B. BBB
C. A3
D. AAA
E. A1

Answer: C

Explanation:
A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.

NEW QUESTION # 75
In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
B. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
C. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
D. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
E. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.

Answer: E

Explanation:
Trade Enrichment is defined as the process performed automatically after each trade execution where additional information is included in the trade instruction. The back-office systems maintain masters relating to brokerage rates, GST, stamp duty, and STT charge tables. When trade data is uploaded, this information is appended to every trade to arrive at client-wise brokerage, obligations, and tax amounts.

NEW QUESTION # 76
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