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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: 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
Topic 2: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 3: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Trade execution 3. Settlement processing
Topic 4: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 5: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 6: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q117-Q122):

117. Frage
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Only resident Qualified Institutional Buyers (QIBs).
B. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
C. Residents are strictly prohibited from dealing in securities listed in IFSC.
D. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
E. Any resident individual irrespective of investment limit.

Antwort: B

Begründung:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

118. Frage
Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A. Complaints against listed companies regarding non-receipt of dividends.
B. Complaints against companies where a moratorium order is passed in insolvency proceedings.
C. Complaints regarding unauthorized trading by a sub-broker.
D. Complaints against registered stock brokers regarding non-receipt of funds.
E. Complaints regarding dematerialization delays by a Depository Participant.

Antwort: B

Begründung:
At present, complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt with through SCORES. Other exclusions include complaints against unlisted/delisted companies, sub-judice cases, and those under other regulators like RBI/IRDAI.,

119. Frage
In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
B. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
C. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
D. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
E. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.

Antwort: D

Begründung:
Trade Enrichment is defined as the process performed automatically after each trade execution where additional information is included in the trade instruction. The back-office systems maintain masters relating to brokerage rates, GST, stamp duty, and STT charge tables. When trade data is uploaded, this information is appended to every trade to arrive at client-wise brokerage, obligations, and tax amounts.

120. Frage
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

A. Currency and interest rate derivatives
B. Debt securities issued by eligible issuers
C. Equity shares of a company incorporated outside India
D. Depository receipts
E. REITs and InviTs

Antwort: A,B,C,D,E

Begründung:
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, the stock exchanges operating in IFSC are permitted to deal in all the listed options: Equity shares of a company incorporated outside India, Depository receipt(s), Debt securities issued by eligible issuers, Currency and interest rate derivatives, Index based derivatives, Commodity derivatives, and REITs and InvITs.

121. Frage
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the client's available margin in the cash segment with the value of securities blocked.
B. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
C. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
D. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
E. The CC matches the client level net obligations with the Block details provided by the depositories.

Antwort: E

Begründung:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

122. Frage
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