Latest NISM-Series-VII Material & NISM-Series-VII Latest Exam Preparation

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks
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
Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q59-Q64):

NEW QUESTION # 59
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
B. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
C. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.
D. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
E. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.

Answer: D

Explanation:
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

NEW QUESTION # 60
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A. Foreign Currency Convertible Bonds (FCCBs)
B. External Commercial Borrowings (ECBs)
C. Masala Bonds
D. Global Depository Receipts (GDRs)
E. Indian Depository Receipts (IDRs)

Answer: A

Explanation:
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.

NEW QUESTION # 61
In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?

A. Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
B. Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.
C. Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
D. The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
E. The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.

Answer: C

Explanation:
According to the section on Settlement dues, 'The clearing members and custodians shall pay to the clearing agency whatever is due to them for settlement of their transactions / positions. In turn, the clearing agency shall pay to the clearing members and custodians moneys payable to them for every settlement for their transactions / positions. This is based on the information provided by the Exchange or Clearing Agency.'

NEW QUESTION # 62
In the Capital Market / Equity Segment, how is the **Mark to Market (MTM)** margin collected from a clearing member regarding their proprietary and client positions?

A. Netted at the security level across all clients and proprietary account combined.
B. Gross of all net positions across all clients; no set-off of loss of one client with the profit of another client.
C. Collected only if the MTM loss exceeds 10% of the VaR margin collected.
D. Netted across all clients; if the Broker has a net profit across all clients, no margin is collected.
E. Gross of all open positions; however, proprietary positions can be netted against client positions.

Answer: B

Explanation:
MTM margin is collected on the * *gross open position* * of the member. The gross open position means the gross of all net positions across all the clients of a member including his proprietary position. For this purpose, the position of a client would be netted for each of its various securities, but * *the positions of all the clients of a broker would be grossed* * (i.e., only losses are added up, no setoff of loss of one client with profit of another).

NEW QUESTION # 63
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Stock Exchange contribution to Core SGF.
B. Clearing Member Primary Contribution.
C. Capped additional contribution by non-defaulting members.
D. Penalties credited to Core SGF.
E. Clearing Corporation resources equal to 5% of the segment MRC.

Answer: E

Explanation:
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

NEW QUESTION # 64
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