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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Topic 2: Market Microstructure	12%	- Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation
Topic 3: Risk Management and Margining	18%	- Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures
Topic 4: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 5: Investor Protection	7%	- Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives
Topic 6: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations
Topic 7: Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Topic 8: Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q305-Q310):

NEW QUESTION # 305
To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?

A. USCNBA funds must be transferred to the Clearing Corporation's settlement account before being paid out to clients.
B. The USCNBA is used only for receiving funds from the Exchange, while client receipts are deposited in the Settlement Account.
C. Funds can be moved to the broker's proprietary account temporarily to facilitate faster settlement payouts.
D. Trading Members must ensure that funds received from clients whose running account has been settled remain in the USCNBA and are not used to settle other clients.
E. Funds in the USCNBA can be used for inter-client adjustments if the clients have provided specific consent in the KYC form.

Answer: D

Explanation:
To safeguard against misuse, Trading Members shall ensure that funds, if any, received from clients whose running account has been settled, remain in the 'Up Streaming Client Nodal Bank Account' and no such funds shall be used for settlement of running account of other clients.

NEW QUESTION # 306
In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A. It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
B. It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.
C. It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
D. It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.
E. It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.

Answer: B

Explanation:
Clients can give 'Demat Debit and Pledge Instruction' (DDPI) under which they explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose for transferring securities from their individual demat account to brokers pool account for the purpose of meeting their pay-in obligation. This serves to mitigate the misuse associated with the broader Power of Attorney (PoA),.

NEW QUESTION # 307
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
B. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
C. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
D. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
E. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.

Answer: B

Explanation:
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

NEW QUESTION # 308
What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
B. They must operate with reduced staff to minimize coordination errors.
C. They must implement a separate risk management framework for holiday settlements.
D. They must seek prior approval from SEBI for every individual settlement run.
E. They must extend the settlement cycle to T+2 temporarily.

Answer: A

Explanation:
The text explicitly states: 'The CCs and depositories shall follow a strict time schedule to ensure that the settlements are completed on the same day.'

NEW QUESTION # 309
According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A. Withdrawal of trading facility
B. Actions as decided by the Relevant Authority
C. Automatic transfer of the member's clearing bank account to the Investor Protection Fund
D. Disciplinary actions
E. Immediate forfeiture of the member's personal assets

Answer: A,B,D

Explanation:
The source states: 'A clearing member... shall render him liable for withdrawal of trading facility [Option A] or such other actions including disciplinary actions [Option B], as may be decided by the Relevant Authority [Option D].'

NEW QUESTION # 310
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