Pass Guaranteed Quiz 2026 NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification–Efficient Valid Dumps Ebook

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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: Clearing and Settlement- Settlement systems
          • 1. Margining and risk adjustments
            • 2. T+1/T+2 settlement cycles
              - Clearing mechanisms
              • 1. Clearing corporations and counterparties
                • 2. Netting and settlement obligations
                  Topic 3: Depository Operations- Demat account framework
                  • 1. Account opening and maintenance
                    • 2. NSDL and CDSL roles
                      - Corporate actions
                      • 1. Dividends, bonuses, splits
                        • 2. Record dates and entitlement processing
                          Topic 4: 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

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                                  NISM-Series-VII Exam Details - Guide NISM-Series-VII Torrent

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q138-Q143):

                                  NEW QUESTION # 138
                                  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: E

                                  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 # 139
                                  To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

                                  Answer: C

                                  Explanation:
                                  The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'


                                  NEW QUESTION # 140
                                  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?

                                  Answer: A

                                  Explanation:
                                  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.


                                  NEW QUESTION # 141
                                  Which of the following instruments allow Indian companies to raise resources from international capital markets?

                                  Answer: A,B,C,E

                                  Explanation:
                                  Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bonds„,. IDRs are used by foreign companies to raise capital from Indian markets.


                                  NEW QUESTION # 142
                                  Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

                                  Answer: B

                                  Explanation:
                                  Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.


                                  NEW QUESTION # 143
                                  ......

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