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NISM Series VII Securities Operations and Risk Management


Aligned to NISM curriculum for NISM Series VII Certification Exam.

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Aligned to NISM curriculum for NISM Series VII Certification Exam. This Online Training Course on NISM Series is delivered by a Finance experts. NISM Series VII Objectives: Covers the basics of the Indian securities market, the different products traded and the various market participants and the respective roles in the market.
Course Faculty
Mr. Lakshminarayanan R
A CA, CFP, CWM and ACCA CertIFR with strong finance background. more>>
Course Offerings
7 Lecture Topics
2+ Hours of Video Lectures
Interactive Discussion Forum
WhatsApp group for Brainstorming
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  • 180 Days access to HD Video Lecture delivered by industry experts
  • Interactive Discussion Forum for solving queries.
  • WhatsApp group for Brainstorming
USD 16.67
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Course Overview

Aligned to NISM curriculum for NISM Series VII Certification Exam.


This Online Training Course on NISM Series VII Securities Operations and Risk Management is delivered by ApnaCourse team of Finance experts

NISM Series VII Examination Objectives
On successful completion of the examination the candidate should:
  • Know the basics of the Indian securities market, the different 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 and Back Office in a Securities Broking Firm.
  • Understand the trade life cycle, the steps and participants involved in the trade life cycle and the role of the back office in a securities broking firm.
  • Understand how the risks are managed in a securities broking firm, the clearing and settlement process.
  • Understand the process of investor grievances redressal.
The examination consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score for the examination is 50%. There shall be negative marking of 25% of the marks assigned to a question. The certificate is valid for 3 years.

Course Curriculum
1 Indian Financial Market Part 1 14:43
2 Indian Financial Market Part 2 15:30
3 Introduction to Securities Broking Operations Part 1 20:07
4 Introduction to Securities Broking Operations Part 2 Preview 07:39
5 Introduction to Securities Broking Operations Part 3 17:42
6 Introduction to Securities Broking Operations Part 4 09:03
7 Introduction to Securities Broking Operations Part 5 16:12

Eligibility Criteria

Eligibility criteria for NISM Series VII

The examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk.

The candidate should have passed Higher Secondary exam or Diploma. Should also have a valid PAN card.

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Course Expert
Mr. Lakshminarayanan R
A Chartered Accountant, a Certified Financial Planner (CFP), a Chartered Wealth Manager (CWM) and ACCA CertIFR (Certificate in Financial Reporting), with 7+ years of domain experience in Financial Planning and Wealth Management.

He is the director at Fourth Dimension Wealth Management Services (P) Ltd. and was the proprietor at Intelliplan Investment Advisors.

He is a Certified Professional on Derivatives by the Institute of Chartered Accountants of India (ICAI). He is also certified by National Institute of Securities Markets on Securities Operations and Risk Management, Equity Derivatives and many more. He is also a Guest Speaker at Christ University, Bangalore and The Institute of Chartered Accountants of India (ICAI), Pune Branch of Western Indian Regional Council on topics such as Prudent Financial Planning and Investment Avenues in the Indian Capital Market.
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