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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q46-Q51):

NEW QUESTION # 46
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must pay a non-refundable arbitration fee of Rs. 25,000.
B. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
C. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
D. They must provide a Bank Guarantee equivalent to 50% of the claim value.
E. They must obtain an indemnity bond from the investor for the full claim amount.

Answer: C

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 47
An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?

A. If the applicant is a Body Corporate with a Net Worth INR 50 Crore
B. If the applicant meets the eligibility criteria in each of the preceding two financial years
C. If the applicant meets the eligibility criteria for the preceding one financial year
D. If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application
E. If the applicant submits a bank guarantee equivalent to the net worth requirement

Answer: B

Explanation:
The validity of the accreditation certificate depends on the financial history: If the applicant meets the eligibility criteria for the preceding one financial year, the validity is two years. If the applicant meets the eligibility criteria in each of the preceding two financial years, the validity is three years. Newly incorporated entities meeting net-worth criteria get a two-year validity.

NEW QUESTION # 48
Regarding the operational obligations of a Portfolio Manager, which of the following statements regarding the maintenance of books, audit, and reporting to clients is legally accurate?

A. The portfolio manager is not required to appoint a custodian if they provide discretionary services.
B. Books of account must be audited yearly, and a report furnished to the client not exceeding a period of three months.
C. Books of account must be audited every quarter, and reports furnished to clients every month.
D. Books of account must be preserved for 3 years, and reports furnished to clients annually.
E. Audit of books is optional for non-discretionary portfolio managers.

Answer: B

Explanation:
The portfolio manager shall furnish periodically a report to the client, as agreed in the contract, but not exceeding a period of three months. The books of account will be audited yearly by a qualified auditor. Books must be maintained for 5 years.

NEW QUESTION # 49
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Post Close Session
B. Early Pay-in via Block Mechanism
C. Continuous Trading Session
D. Pre-open Session
E. Auction Session

Answer: A,D,E

Explanation:
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

NEW QUESTION # 50
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
B. The VIPV recording is optional if the client provides a digitally signed self-declaration.
C. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.
D. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
E. The VIPV must be conducted offline and the recording uploaded to the KRA system later.

Answer: D

Explanation:
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.

NEW QUESTION # 51
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