Description
In order to be eligible to work as an associate of a registered stockbroker, trading member, or clearing member on recognized stock exchanges, applicants must meet a set of minimum knowledge requirements. These requirements include dealing with investor or client assets or funds, resolving investor complaints, internal control or risk management, and activities involving operational risk. NISM Series VII: Securities Operations and Risk Management Certification Examination helps the candidates to understand trading life cycle and imparts basic knowledge of Stock Market and its products.
Highlight
NISM Series VII: Securities Operations and Risk Management Certification Examination helps candidates in understanding the fundamentals of the Indian Securities Market, regulations and their function, end-to-end operations of a broking house, the trade life cycle, its steps and participants, function of the back office in a securities broking firm, how risks are managed in a securities broking firm, the clearing and settlement process, and the procedure for resolving investor grievances are all covered in the NISM certification course.
This course is designed to help candidates understand how the broking industry operates and manages risk. It serves as a preparation for the NISM certification exam, which covers security operations and risk management in NISM Series VII.
Sample Paper
Set 1
No of Questions : 25
Time : 25 Minutes
Set 2
No of Questions : 25
Time : 25 Minutes
Set 3
No of Questions : 25
Time : 25 Minutes
Set 4
No of Questions : 25
Time : 25 Minutes
Set 5
No of Questions : 25
Time : 25 Minutes
Set 6
No of Questions : 25
Time : 25 Minutes
Set 7
No of Questions : 25
Time : 25 Minutes
Set 8
No of Questions : 25
Time : 25 Minutes
Set 9
No of Questions : 50
Time : 50 Minutes
Set 10
No of Questions : 50
Time : 50 Minutes
Set 11
No of Questions : 50
Time : 50 Minutes
Set 12
No of Questions : 50
Time : 50 Minutes
Set 13
No of Questions : 50
Time : 50 Minutes
Set 14
No of Questions : 50
Time : 50 Minutes
Set 15
No of Questions : 50
Time : 50 Minutes
Set 16
No of Questions : 50
Time : 50 Minutes
Set 17
No of Questions : 75
Time : 75 Minutes
Set 18
No of Questions : 75
Time : 75 Minutes
Set 19
No of Questions : 75
Time : 75 Minutes
Set 20
No of Questions : 75
Time : 75 Minutes
Set 21
No of Questions : 75
Time : 75 Minutes
Set 22
No of Questions : 100
Time : 100 Minutes
Set 23
No of Questions : 100
Time : 100 Minutes
Set 24
No of Questions : 100
Time : 100 Minutes
Set 25
No of Questions : 100
Time : 100 Minutes
Set 26
No of Questions : 100
Time : 100 Minutes
Objective
- Understand the fundamentals of the Indian Securities Market, various products traded, the roles played by the various market participants.
- Recognize the role of Securities Exchange Board of India (SEBI) and the regulatory environment
- Understand various roles plays by securities broking firm such as front, middle, and back office.
- Recognize the steps, players, and trade life cycle as well as the function of the back office in a securities broking company.
- Recognize how a securities broking company manages risks and the clearing and settlement procedure.
- Recognize the investor grievance redressal process.
Sign In
Register
