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www.nism.ac.in Workbook for NISM Series VII: Securities Operations and Risk Management Certification Examination 5 www.nism.ac.in Workbook for NISM-Series-VII: Securities Operations and Risk Management Certification Examination National Institute of Securities Markets www.nism.ac.in NISM Certification on Securities Operations and Risk Management – Workbook This workbook has been developed to assist candidates in preparing for the National Insti- tute of Securities Markets (NISM) Certification Examination for Securities Operations and Risk Management. Workbook Version: November 2010 Published by: National Institute of Securities Markets © National Institute of Securities Markets, 2010 Plot 82, Sector 17, Vashi Navi Mumbai – 400 705, India All rights reserved. Reproduction of this publication in any form without prior permission of the publishers is strictly prohibited. Page 2 of 115 NISM Certification on Securities Operations and Risk Management – Workbook Disclaimer The contents of this publication do not necessarily constitute or imply its endorsement, recommendation, or favoring by the National Institute of Securities Market (NISM) or the Securities and Exchange Board of India (SEBI). This publication is meant for general reading and educational purpose only. It is not meant to serve as guide for investment. The views and opinions and statements of authors or publishers expressed herein do not constitute a personal recommendation or suggestion for any specific need of an Individual. It shall not be used for advertising or product endorsement purposes. The statements/explanations/concepts are of general nature and may not have taken into account the particular objective/ move/ aim/ need/ circumstances of individual user/ reader/ organization/ institute. Thus NISM and SEBI do not assume any responsibility for any wrong move or action taken based on the information available in this publication. Therefore before acting on or following the steps suggested on any theme or before fol- lowing any recommendation given in this publication user/reader should consider/seek professional advice. The publication contains information, statements, opinions, statistics and materials that have been obtained from sources believed to be reliable and the publishers of this title have made best efforts to avoid any errors. However, publishers of this material offer no guarantees and warranties of any kind to the readers/users of the information contained in this publication. NISM and SEBI do not warrant the totality and absolute accuracy, adequacy or complete- ness of this information and material and expressly disclaim any liability for errors or omis- sions in this information and material herein. NISM and SEBI do not accept any legal liabili- ty what so ever based on any information contained herein. While the NISM Certification examination will be largely based on material in this work- book, NISM does not guarantee that all questions in the examination will be from material covered herein. Page 3 of 115
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