As the talent competition increases in the labor market, it has become an accepted fact that the NISM-Series-VII certification has become an essential part for a lot of people, especial these people who are looking for a good job, because the certification can help more and more people receive the renewed attention from the leader of many big companies. So it is very important for a lot of people to gain the NISM certification. We must pay more attention to the certification and try our best to gain the NISM certification. First of all, you are bound to choose the best and most suitable study materials for yourself to help you prepare for your exam. Now we would like to introduce the NISM-Series-VII certification guide from our company to you. We sincerely hope that our study materials will help you through problems in a short time.

DOWNLOAD DEMO

The superiority of the software version

The software version is one of the different versions that is provided by our company, and the software version of the NISM-Series-VII certification guide is designed by all experts and professors who employed by our company. We can promise that the superiority of the software version is very obvious for all people. It is very possible to help all customers pass the NISM-Series-VII exam and get the related certification successfully. For example, the software version of the NISM-Series-VII guide materials can help you simulate the real examination environment, and you can know whether the time is enough for you or not by simulating the real examination environment.

Most convenient version

The NISM-Series-VII guide materials from our company are compiled by a lot of excellent experts and professors in the field. In order to help all customers pass the exam in a short time, these excellent experts and professors tried their best to design the study version, which is very convenient for a lot of people who are preparing for the NISM-Series-VII exam. You can find all the study materials about the exam by the study version from our company. More importantly, we can assure you that if you use our NISM-Series-VII certification guide, you will never miss any important and newest information. We will send you an email about the important study information every day in order to help you study well. We believe that our NISM-Series-VII exam files will be most convenient for all people who want to take an exam.

Provide the demo for all people

Nowadays a lot of people start to attach importance to the demo of the study materials, because many people do not know whether the NISM-Series-VII guide materials they want to buy are useful for them or not, so providing the demo of the study materials for all people is very important for all customers. A lot of can have a good chance to learn more about the NISM-Series-VII certification guide that they hope to buy. Luckily, we are going to tell you a good new that the demo of the NISM-Series-VII study materials are easily available in our company. If you buy the study materials from our company, we are glad to offer you with the best demo of our study materials. You will have a deep understanding of the NISM-Series-VII exam files from our company, and then you will find that the study materials from our company will very useful and suitable for you to prepare for you NISM-Series-VII exam.

NISM NISM-Series-VII Exam Syllabus Topics:

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:

Question 1

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

Question 2

In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A. Custodians are registered as Trading Members but outsource clearing to PCMs.
B. Custodians automatically act as the counterparty for all institutional trades.
C. Custodians are Clearing Members (like PCMs) but do not possess trading rights.
D. Custodians are exempt from registration with SEBI if they are registered banks.
E. Custodians are primarily responsible for executing trades on the exchange floor.

Question 3

Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A. Opening demat accounts for retail clients.
B. Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.
C. Confirming the genuineness of transaction details provided by the Clearing Corporation.
D. Performing the actual transfer of funds and securities to the Clearing Corporation.
E. Computing obligations of all trading members to determine positions to settle.

Question 4

For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

A. It is based on the closing price of the underlying security in the Capital Market Segment.
B. It is determined by the FIMMDA / FBIL reference rate.
C. It is fixed at the previous day's settlement price adjusted for the risk-free interest rate.
D. It is the weighted average price of the contract during the last half an hour of trading.
E.

Question 5

Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A. Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
B. The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
C. The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
D. These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
E. Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.

Solutions: