NATIONAL INSTITUTE OF SECURITIES MARKETS Established by the Securities and Exchange Board of India NISM-Series-VII: Securities Operations and Risk Man...
Workbook for NISM – Series – VII: Securities Operations and Risk Management Certification Examination www.nism.ac.in 5 www.nism.ac.in
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NATIONAL INSTITUTE OF SECURITIES MARKETS Established by the Securities and Exchange Board of India
NISM-Series-VII: Securities Operations and Risk Management Certification Examination Curriculum
I. A. B. C. D.
Introduction to the Securities Market Indian securities markets and its role in Indian economy Structure of Securities market Money market and its key features Products traded in the securities market
II. A. B. C. D.
Market Participants in the Securities Market Types of investors Issuers Intermediaries Regulators and regulatory framework
III. A. B.
Introduction to the Securities Broking Operations Trade life cycle Front office operations • Client on-boarding and registration • KYC • Unique Client Code • Order management • Order routing through the exchange • Execution of trade Risk management practices Surveillance mechanism Back-office operations • Trade enrichment • Trade allocation • Trade confirmation/modification • Clearing and settlement • Accounting • Information technology • Regulatory compliances
C. D. E.
NISM-Series-VII: Securities Operations and Risk Management Certification Examination
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NATIONAL INSTITUTE OF SECURITIES MARKETS Established by the Securities and Exchange Board of India IV. A. B. C. D. E.
Risk Management Risk Management practices Capital adequacy requirements Client account control Margin requirements Compliances and regulatory reporting
V. A. B. C. D. E. F. G.
Clearing Process Clearing process Role of clearing agency in clearing of trades Role of clearing banks in clearing of trades Role of clearing members / Custodians in clearing of trades Role of depositories and depository participants in clearing of trades Clearing process for equities trading Clearing process for derivatives trading
VI. A. B. C. D. E. F.
Settlement Process Settlement cycle Settlement of Internet based trading and order placed on phone Settlement of funds Settlement of securities Corporate actions adjustment Auction of securities
VII. A. B. C.
Investor Grievances and Arbitration Redressal of investor grievance Procedure of arbitration Role of appellate arbitration
VIII. A. B.
Other Services Provided by Brokers Services provided by brokers IPO applications • Collection of IPO application forms • ASBA facility Mutual fund trading through stock exchange Portfolio management services provided by brokers Research reports Depository services Margin trading
C. D. E. F. G.
NISM-Series-VII: Securities Operations and Risk Management Certification Examination
