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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance
Topic 4: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q216-Q221):

NEW QUESTION # 216
SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A. The pay-out timing is deferred to T+2 day at 9:00 AM.
B. The pay-out timing is revised from 1:30 PM to 3:30 PM.
C. The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
D. The pay-out timing remains unchanged at 1 :30 PM.
E. The pay-out timing is advanced from 1:30 PM to 11 AM.

Answer: B

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM. This ensures securities are credited on the same settlement day.

NEW QUESTION # 217
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A. Gross settlement determination Netting within firm Multilateral netting.
B. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
C. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
D. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
E. Pay-in of funds Multilateral netting -> Pay-out of securities.

Answer: C

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'

NEW QUESTION # 218
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
B. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
C. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
D. All institutional investors including Foreign Portfolio Investors (FPIs).
E. An investor trading through different Trading Members who use different Clearing Members.

Answer: B

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 219
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 4:15 PM on T Day
B. By 7:30 AM on T+1 Day
C. By 9:00 AM on T+1 Day
D. By 1:30 PM on T+1 Day
E. By 11:00 AM on T+1 Day

Answer: B

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 # 220
Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A. Seven years from the date of the suspicious transaction report filing.
B. Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
C. Five years from the date of the specific transaction.
D. Two years from the date of the last transaction in the account.
E. Ten years from the date of account opening.

Answer: B

Explanation:
The PMLA stipulates two different retention periods. Records of transactions must be maintained for five years from the date of transaction. However, records of documents evidencing identity of clients and beneficial owners must be maintained for five years after the business relationship has ended or the account has been closed, whichever is later.

NEW QUESTION # 221
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