Securities Operations and Risk Management NISM Series VII Cert

Build a Career in Securities Markets with NISM Series VII Certification

With increasing white collar crimes, it was becoming increasingly more crucial to strengthen the rules and regulations governing financial markets. The Securities and Exchange Board of India (SEBI) was formulated to cater to the need. With the increasing risks, banks and financial services institutions of all sizes are more inclined on Securities Operations and Risk Management (SORM).

The SORM focuses on having relevant knowledge on the subject for people associated with registered stock-brokers, trading members, clearing members working in recognized stock exchanges. These people are typically involved in following activities:

·         Assets or funds of investor or clients

·         Redressal of investor grievances

·         Internal control or risk management

·         Activities having a bearing on operational risk

Securities Operations and Risk Management Certificationcovers the following topics:

·         Basics of the Indian financial market and securities market

·         Its rules and regulations

·         The day to day functions of the broking industry

·         Understanding of  the trade life cycle in stock market

·         The various steps involved in SORM

·         The role of back office in a broking firm

·         Ways to manage risks in a broking firm

·         The clearing & settlement process.

Successful completion of the course lets you understand the operations and risk management in broking industry and get ready for the NISM certification examination Security Operations and Risk Management course NISM series VII.

NISM Series VII Examinationis conducted at NISM centers online. Although the questions are of ‘Multiple – choice’, the negative marking makes it more difficult and challenging. The candidates need to complete the test within the stipulated time of 2 hours. One needs to obtain a minimum of 50% marks to pass the exam. When opting for NISM Courses online, make sure to check for their question bank facility along with NISM Series VII Mock Test. Such sample mock tests mentally prepare you for bearing the stress and perform suitably in the test.

All SEBI Courses are inclined to ensure that the individuals are well equipped with the minute details of the Securities Markets. So, get ready with the basics for a great career in Securities Markets with NISM Series VII Certification. Online NIFM is always by your side to support you in gaining confidence on the subject.

What you will get?

Pre-recorded chapter vise videos - Yes (approx 6 hours)

Language:  HINDI

Book:  Yes (Ebooks in pdf format in English)

Mock test:  Yes (online mock test with approx 500 question answers) 

Certification: Dual certification (Certification from NIFM and preparation for SEBI NISM exam)

SEBI NISM Exam Assesment Structure:

Duration: 120 minutes

No. of questions: 100

Total Marks: 100

Marks per question: 1

Passing score: 50%

Negative Marking: Yes (25%)

Certificate validity: 3 years

Faculty: Mr. Tapas Nayak

NISM series VII security operations and risk management is designed to understand the complete end to end process and procedure of the broking indusry.

SEBI Certification Course like NISM Series VII Certificationis compulsory for any individual who to work as Risk Management at Stock Broker with recognized Stock Exchanges. Thus, every staff member of a Stock broker firm has to clear this exam before working on the same.

Topics covered:

• Introduction
• different market participants
• broking operations
• how to manage risk management
• clearing process cycle
• settlement process cycle
• investor grievances and arbitration
• other services

Computer, Laptop, ipad, tab or mobile phone required with broadband or 4G internet.