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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q53-Q58):

NEW QUESTION # 53
When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

Answer: D

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as valuation debit. (Section 6.5)


NEW QUESTION # 54
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: D

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 # 55
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

Answer: C

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'


NEW QUESTION # 56
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

Answer: A

Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.


NEW QUESTION # 57
Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)

Answer: A,B,C,D

Explanation:
Transfer of securities from one account to another may be done for any of the following purposes: a. Transfer due to a transaction done on a person-to-person basis i.e. 'off-market' transaction. b. Transfer arising out of a transaction done on a recognised Stock Exchange. c. Transfer arising out of transmission of securities and account closure.


NEW QUESTION # 58
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