Securities Operations and Risk Mgmt Material

NISM-Series-VII: Securities Operations Material

₹576

NISM-Series-VII: Securities Operations and Risk Management Certification Examination is designed for professionals involved in securities operations, compliance, risk management, and investor grievance handling. It covers securities markets, trade lifecycle, clearing and settlement, depository operations, risk controls, regulatory requirements, and investor protection. This certification is ideal for stock broking professionals, compliance teams, operations staff, finance students, and job aspirants.

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Description

Securities Operations and Risk Management (SORM) is designed to establish a common minimum knowledge benchmark for associated persons of stockbrokers, trading members, and clearing members. These associated persons are those who handle client assets or funds, deal with investor grievances, work in internal control or risk management, or perform any activity having a bearing on operational risk in the securities market. Anchored in SEBI’s regulatory framework, the workbook explains how India’s securities market operates, how trades are executed and settled, how risks are identified and mitigated, and how investor interests are safeguarded. It is tightly aligned with the examination objectives, covering understanding of products and participants, the regulatory framework, the trade life cycle, broker operations, risk management, clearing and settlement, and grievance redressal.

This book is intended for the following audience:

  • Associated Persons of Stockbrokers, Trading Members, and Clearing Members responsible for handling client funds and securities
  • Internal Controls, Compliance, and Operational Risk Professionals
  • Operations, Risk Management, and Back-Office Professionals working in broking firms
  • Compliance Officers and Surveillance Teams
  • Students and Job Aspirants
  • Professionals from FinTech, Depositories, Custodians, and Market Intermediaries
  • Candidates preparing for the NISM-Series-VII: Securities Operations and Risk Management Certification Examination

The Present Publication is the June 2025 Workbook Version, developed in collaboration with the Certification Team of NISM in coordination with Mr. Sunil Gawde, Subject Matter Expert. It is published exclusively by Taxmann, with the following noteworthy features:

  • End-to-End Coverage of Broker Operations
  • Market-wide Context
  • Regulation-heavy yet Practitioner-friendly Approach
  • Current Market Infrastructure
  • Strong Risk Management Focus
  • Investor-centric Approach
  • Learning Objectives and Sample Questions for Better Preparation

The workbook provides a structured deep dive into:

  • Basics of the Indian Securities Market
  • Market Structure and Participants
  • Products such as Equities, Debt, Derivatives, and More
  • Regulatory Framework and Compliance Requirements
  • Trade Life Cycle from Order Placement to Settlement
  • Brokerage Firm Operations including Front Office, Middle Office, and Back Office
  • Clearing and Settlement Systems
  • Risk Management and Operational Controls
  • Investor Grievance Redressal Mechanisms

Pedagogically, the workbook is built as a complete learning pathway with learning objectives at the start of each chapter, conceptual explanations, regulatory references, practical examples, flow diagrams, tables, and sample questions for exam-oriented preparation.

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