NISM-Series-VII Prüfungsfragen Prüfungsvorbereitungen 2026: NISM Series VII - Securities Operations and Risk Management Certification - Zertifizierungsprüfung NISM NISM-Series-VII in Deutsch Englisch pdf downloaden

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 2: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 3: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 4: 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 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 6: 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 NISM-Series-VII Prüfungsfragen mit Lösungen (Q146-Q151):

146. Frage
Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A. Only Saturdays and Sundays.
B. Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
C. Only Exchange trading holidays.
D. Public holidays declared under the Negotiable Instruments Act only.
E. Only days when the Reserve Bank of India (RBI) is closed.

Antwort: B

147. Frage
Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A. Netting of delivery obligations is strictly for the purpose of settlement.
B. Clearing Corporations continue to maintain segment-wise default waterfalls.
C. The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
D. Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
E. Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.

Antwort: A,B,C

Begründung:
Statement A is correct: Netting is available for non-institutional CPs clearing through the same entity registered as custodian in cash and CM in F&O. Statement B is incorrect: Investors whose TM clears through different CM/CC will not be able to avail the benefit. Statement C is incorrect: STT/Stamp Duty continue to be computed on a segment-wise level. Statement D is correct: Netting is only for the purpose of settlement. Statement E is correct: CCs continue to maintain segment-wise default waterfalls.

148. Frage
Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A. It reduces the number of payments due by netting transactions.
B. It calculates and controls the margining mechanism.
C. It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.
D. It guarantees settlement of trades through the process of novation.
E. It executes client orders on the stock exchange platform on behalf of the trading members.

Antwort: A,B,C,D

Begründung:
The Clearing Corporation guarantees settlement (novation), reduces payments via netting, provides dispute resolution/legal enforcement (buyers/sellers don't sue each other), and calculates/controls margining. Option D is incorrect because the Clearing Corporation does not execute orders; execution is the function of the Stock Exchange/Trading Members.

149. Frage
Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A. Execution of off-market trades between parties other than the related parties.
B. Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.
C. Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
D. Opening a new beneficial owner account or a broking facility with another stock broker.
E. Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.

Antwort: B

Begründung:
According to the source, the use of DDPI shall be limited only for specific purposes: 1) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries / settlement obligations; 2) Pledging / re-pledging of securities in favour of TMI CM for meeting margin requirements; 3) Mutual Fund transactions on stock exchange platforms; 4) Tendering shares in open offers. Conditions like transfer of funds or off-market trades are not covered under the limited purpose DDPI.

150. Frage
In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
B. No review option is available; the complainant must approach the civil court immediately.
C. Two levels of review: First by the 'Designated Body' and Second by SEBI.
D. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
E. A mandatory arbitration process initiated automatically upon dissatisfaction.

Antwort: C

Begründung:
SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.

151. Frage
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