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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Risk Management in Securities Markets- Market and operational risk
  • 1. Types of financial risks
    • 2. Operational risk controls
      - Risk mitigation systems
      • 1. Surveillance and compliance mechanisms
        • 2. Margins and collateral systems
          Topic 2: 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
                  Topic 3: Clearing and Settlement- Settlement systems
                  • 1. T+1/T+2 settlement cycles
                    • 2. Margining and risk adjustments
                      - Clearing mechanisms
                      • 1. Clearing corporations and counterparties
                        • 2. Netting and settlement obligations
                          Topic 4: Securities Market Operations- Trading process
                          • 1. Order execution and trade lifecycle
                            • 2. Trade confirmation and reporting
                              - 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 (Q124-Q129):

                                  NEW QUESTION # 124
                                  While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

                                  Answer: E

                                  Explanation:
                                  In certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window', etc.


                                  NEW QUESTION # 125
                                  Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

                                  Answer: A

                                  Explanation:
                                  The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.


                                  NEW QUESTION # 126
                                  In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

                                  Answer: D

                                  Explanation:
                                  The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.


                                  NEW QUESTION # 127
                                  In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

                                  Answer: D

                                  Explanation:
                                  The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'


                                  NEW QUESTION # 128
                                  Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

                                  Answer: C

                                  Explanation:
                                  Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.


                                  NEW QUESTION # 129
                                  ......

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