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NISM NISM-Series-VII Exam Syllabus Topics:

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

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Quiz NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification –Valid Test Braindumps

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q151-Q156):

NEW QUESTION # 151
To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
B. CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
C. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
D. CCs shall provide client-wise net delivery obligations on T day to the depositories.
E. CCs must approve every individual transfer instruction manually before execution on the settlement day.

Answer: D

Explanation:
The process requires that 'CCs shall provide client - wise net delivery obligations on T day to the depositories.' The Depositories then use this data to validate the transfer instructions.

NEW QUESTION # 152
Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A. Special Reports to cater to needs of some investors
B. Fundamental Research
C. Daily/weekly/fortnightly/monthly newsletters
D. Stock Research
E. High-Frequency Arbitrage Reports

Answer: E

Explanation:
The source explicitly lists the following types of reports: "Fundamental Research, Stock Research, Daily/weekly/fortnightly/monthly newsletters, Special Reports to cater to needs of some investors, and Sector Reports* *. 'High-Frequency Arbitrage Reports' is not mentioned in this list.

NEW QUESTION # 153
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
B. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
C. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
D. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.
E. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.

Answer: A

Explanation:
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

NEW QUESTION # 154
A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A. Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.
B. Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
C. Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.
D. Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.
E. Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.

Answer: A

Explanation:
The broker must have a minimum net worth of Rs.50 lacs if the broker is providing the Internet based facility on his own. The stock exchange should grant approval or reject the application as the case may be and communicate its decision to the member within 7 calendar days of the date of completed application submitted to the exchange.

NEW QUESTION # 155
Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It is distributed equally among all non-defaulting clearing members.
B. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
C. It is transferred to the SEBI General Fund.
D. It is returned to the defaulting member after deducting a 1% processing fee.
E. It should be credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: E

Explanation:
The proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 156
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