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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Topic 2: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Topic 3: Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms
Topic 4: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q196-Q201):

NEW QUESTION # 196
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
B. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
C. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
D. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
E. When the investor trades in highly correlated indices across different exchanges.

Answer: D

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 197
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is used to provide exposure limits to the Clearing Member's other Trading Members.
B. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
C. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
D. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
E. It is used to cover the margin obligation of that specific client only.

Answer: E

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 198
To bring transparency to the Investor Grievance Redressal Mechanism, stock brokers are mandated to disclose data on complaints received and redressed on their respective websites. What is the specific deadline for this disclosure?

A. By the 10th of the succeeding month
B. By the last day of the succeeding month
C. Within 21 days of the end of the quarter
D. By the 15th of the succeeding month
E. By the 7th of the succeeding month

Answer: E

Explanation:
All Stock Brokers shall disclose on their respective websites, the data on complaints received against them or against issues dealt by them and redressal thereof, latest by the seventh of the succeeding month, as per the SEBI provided format.

NEW QUESTION # 199
SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A. The pay-out timing is deferred to T+2 day at 9:00 AM.
B. The pay-out timing is advanced from 1:30 PM to 11 AM.
C. The pay-out timing remains unchanged at 1 :30 PM.
D. The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
E. The pay-out timing is revised from 1:30 PM to 3:30 PM.

Answer: E

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM. This ensures securities are credited on the same settlement day.

NEW QUESTION # 200
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 transferred to the SEBI General Fund.
B. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
C. It is returned to the defaulting member after deducting a 1% processing fee.
D. It should be credited to the Core Settlement Guarantee Fund (Core SGF).
E. It is distributed equally among all non-defaulting clearing members.

Answer: D

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 # 201
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