NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification braindumps PDF & Testking echter Test

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
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
Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q302-Q307):

302. Frage
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. The Investor Protection Fund Trust
C. The Stock Exchange
D. The Depository (NSDL or CDSL)
E. Securities and Exchange Board of India (SEBI)

Antwort: C

Begründung:
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

303. Frage
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

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

Antwort: D

Begründung:
According to the General Clearing process in Cash Segment 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. Subsequently, the final obligations are downloaded by 9:00 a.m.

304. Frage
According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A. All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
B. Anchor Investors applying during the anchor book period.
C. Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
D. All Retail Individual Investors applying for any amount.
E. Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.

Antwort: A

Begründung:
SEBI vide circular dated April 05, 2022, decided that 'all Individual Investors applying in Public issues where the application amount is upto 5 Lakhs shall use UPI and shall also provide their UPI ID in the bid-cum-application form'.

305. Frage
In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A. Internal shortages within a broker's firm that could not be resolved via self-auction.
B. Trades executed in the Block Deal window.
C. Shortages arising from institutional trades not confirmed by the Custodian.
D. Shortages in liquid securities (Group l) where the impact cost is less than 1%.
E. Shortages where the value is less than Rs. 1 Lakh.

Antwort: B

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

306. Frage
Under the 'Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)', which of the following statements correctly describes the permissibility of different cloud deployment models?

A. Community cloud models are treated as 'other cloud models' and are currently prohibited unless explicitly permitted.
B. Hybrid cloud deployments are prohibited as they combine public and private clouds, creating security vulnerabilities.
C. Private cloud is considered an on-premise deployment and is governed by general SEBI circulars (cyber security, outsourcing) rather than the specific cloud framework.
D. RES are mandated to use only Community Cloud models hosted within the International Financial Services Centres (IFSC).
E. Public cloud is strictly prohibited for all SEBI Regulated Entities due to data localization concerns.

Antwort: C

Begründung:
The framework clarifies that a Private Cloud shall be considered as an on-premise deployment and consequently, private cloud deployments shall be governed by SEBI circulars (e.g., cyber security, outsourcing, BCP-DR) issued from time to time, and may not be governed by the specific cloud framework. Public, Community, and Hybrid clouds are permitted subject to conditions.

307. Frage
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