nism.ac.in - Revision of NISM-Series-VII: Securities Operation and Risk Management Certification Examination w.e.f October 16, 2018

Securities Operations and Risk Management

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Securities Operations and Risk Management Menu NISM Home About NCFE SEBI Circulars Support Facebook Twitter YouTube Menu HomeStart here NISM CertificationsCertification Examinations Derivatives Currency Derivatives Equity Derivatives Interest Rate DerivativesWorldwideDerivatives CertificationViewingRegistrar & Transfer Agents RTA - Corporate RTA - Mutual Fund Compliance Securities Intermediaries Compliance (Non-Fund) Issuers Compliance Mutual Fund Mutual Fund Distributors Mutual Fund Foundation Mutual Fund Distributors (Level 2) Operations Depository Operations Securities Operations and Risk Management Merchant Banking Merchant Banking Equity Equity Sales Investment Adviser Investment Adviser (Level 1) Investment Advisors (Level 2)Nutsof Securities Markets Securities Markets Foundation Research Analyst Research Analyst CertificationViewingInternal Auditors for Stock Brokers Internal Auditors for Stock Brokers CertificationViewingRetirement Adviser Retirement Adviser CertificationViewingContinuing Professional EducationContinuing Education Currency Derivatives CPEWorldwideDerivatives CPE RTA – Corporate CPE RTA – Mutual Fund CPE Securities Intermediaries Compliance(Non-Fund) CPE Interest Rate Derivatives CPE Mutual Fund Distributors CPE Mutual Fund Foundation CPE Depository Operations CPE Securities Operations and Risk Management CPE Equity Derivatives CPE Merchant Banking CPE Investment Advisor (Level 1) Investment Advisor (Level 2) eCPEOnline CPE Mutual Fund Distributors eCPE Joint CertificationOther Examinations NISM-Moody's NISM-Moody's Analytics Certificate in Derivatives Market Strategies (CDMS) NISM-Moody's Analytics Certificate in Fixed Income Trading and Sales (CFITS) NISM-ICFL Certification in Equity Trading and Investment Advanced Certification in Financial Markets Other Initiatives -StockMIND NISM-AIWMI Certified Credit Research Analyst Certification (CCRA) Events Certified Alternative Investment Manager Certification (AIM) Exam CentresSearch Test Centres Contact UsSupport Desk NISM Certifications SupportSupport for NISM Certification Examinations NISM CPE SupportSupport for NISM Continuing Professional Education (CPE) Corporate Relations CellCorporate Relations NISM-Series-VII: Securities Operations and Risk Management CertificationViewingPrint Email Revision of NISM-Series-VII: Securities Operation and Risk Management CertificationViewingw.e.f October 16, 2018. The viewing seeks to create a worldwide minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / transplanting member in recognized stock exchanges, involved in (a) resources or funds of investor or clients (b) redressal of investor grievances, (c) internal tenancy or risk management and (d) activities having a validness on operational risk.ViewingObjectives On successful completion of the viewing the candidate should: Know the nuts of the Indian securities market, the variegated products traded and the various market participants and the respective roles they play in the Indian securities market. Understand the regulatory framework and the role of the Securities Exchange Board of India. Know the various functions of the Front Office, Middle Office andWhenOffice in a Securities Broking Firm. Understand the trade life cycle, the steps and participants involved in the trade life trundling and the role of the when office in a securities broking firm. Understand how the risks are managed in a securities broking firm, the transplanting and settlement process. Understand the process of investor grievances redressal. Assessment Structure The viewing consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score for the viewing is 50%. There shall be negative marking of 25% of the marks prescribed to a question. Test Details: Name of Module: NISM-Series-VII: Securities Operations and Risk Management CertificationViewingFees (Rs.) Test Duration (in minutes) No. of Questions Maximum Marks Pass Marks* (%) Certificate # Validity (in years) 1500+ 120 100 100 50 3   * Negative marking – 25% of the marks prescribed to the question.+ Payment gateway charges extra.# Passing Certificate will be issued only to those candidates who have furnished/ updated their Income Tax Permanent Account Number (PAN) in their registration details. 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Connect with us National Institute of Securities Markets, NISM Bhavan, Plot No. 82, Sector - 17, Vashi, Navi Mumbai Helpdesk: +91-8080806476 Fax: +91-22-6673-5110 Email: certification@nism.ac.in Quick LinksMenu HomeStart here NISM CertificationsCertification Examinations Derivatives Registrar & Transfer Agents Compliance Mutual Fund Operations Depository Operations Securities Operations and Risk Management Merchant Banking Equity Investment AdviserNutsof Securities Markets Research Analyst Internal Auditors for Stock Brokers Retirement Adviser Continuing Professional EducationContinuing Education eCPEOnline CPE Joint CertificationOther Examinations Exam CentresSearch Test Centres Contact UsSupport Desk  “National Institute of Securities Markets administers Certification examinations and Continuing Professional Education programs as per SEBI (Certification of Associated Persons in Securities Markets) Regulation 2007.NISM develops / approves content for various modules as per test objectives for the viewing / Continuing Professional Education programs. Similarly, NISM moreover develops examinations for respective modules. NISM does not provide any training, for preparation of examinations, directly or indirectly to participants who desire to towards for NISM examinations. However, there are organisations / entities that are providing training programs / model test papers, in matriculation room, online or any other format or medium, to participants who desire to towards for NISM examinations. It is specifically stuff brought to the notice of all concerned that NISM is not directly or indirectly associated with such training programs or model test papers or any kind of training in any form for helping pass NISM certification examinations. Further, NISM has not authorised any organisation / person as authorised training partner / trainer for providing training for passing NISM certification examinations." Disclaimer for CPE Program / Certification viewing registration and enrolment "National Institute of Securities Markets administers Certification examinations and Continuing Professional Education programs as per SEBI (Certification of Associated Persons in Securities Markets) Regulation 2007.NISM does not authorise or legitimatize any organisation / person as wage-earner / representative / helping hand for participants towards Registration / Enrolment process for NISMViewing/ CPE Program.It is observed that, there are organisations / entities that are offering service to participants in registration / enrolment with NISM and are charging spare fee on top of NISMViewing/ CPE fee.It may be noted that NISM  does not accept  responsibility of any kind for any loss that  a participant / candidate may suffer  or  for any inconvenience that may be caused  to him / her  while availing the services or information offered by such entities  / organisations."  Copyright © 2018 All rights reserved. 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