Overview

NISM-Series-VI: Depository Operations Exam Preparation Mock Test with 1500 Question Bank Correct Answer & Detail ExplanationsABOUT THIS MOCK TEST:Supercharge Your Preparation for the NISM-Series-VI: Depository Operations Exam! Are you ready to ace your NISM-Series-VI: Depository Operations Certification Examination with flying colors? Look no further! Our meticulously crafted Online Mock Test is here to empower your journey towards success.Comprehensive Coverage: Our mock test rigorously covers all the Test Objectives & Learning Outcomes outlined by NISM, ensuring you're fully equipped for the exam.Detailed Explanations: Each question in our mock test is accompanied by correct answers and detailed explanations. Understand the concepts thoroughly and enhance retention through comprehensive explanations.Chapter-Based Questions: Easily recall relevant concepts with questions categorized by chapter numbers. Instantly identify and reinforce your understanding of key areas related to each chapter.Strengthen Weak Areas: At the end of each mock test, we provide insights into the Knowledge areas from which the questions were derived. Identify weak areas and focus your efforts on strengthening them for optimal performance.Dive Deep into Topics: From understanding the intricacies of the Indian Capital Market to mastering special services like Pledge & Hypothecation, Corporate Actions, and more, our mock test delves into every crucial aspect.Unlock Your Potential: Empower yourself with the knowledge and confidence needed to excel in the Depository Operations Certification Examination. Our mock test is your pathway to success!Boost Your Confidence: Practice with confidence knowing you're familiar with the legal framework, operational mechanisms, and technology implementations relevant to the Depository Operations landscape.Don't let this opportunity slip away. Invest in your future success now and embark on your journey towards becoming a certified Depository Operations professional. Unlock your potential with our Online Mock Test!GurukulOnRoad - Empowering Aspirants, Transforming Futures.NOTE: This Mock Test is part of our printed book with 2000+ Question Bank along with additional learning resources, available on all leading eCom platforms. Visit Author's website for more information.BOOK NAME: NISM-Series-VI: Depository Operations Exam Preparation Guide with 2000+ Question Bank 2024KNOWLEDGE AREA, TEST OBJECTIVES & LEARNING OUTCOMES COVERED IN THIS MOCK TESTNISM Workbook Version: December 2022 used as reference to develop this Mock Test1. Introduction to the Indian Capital MarketCapital MarketRegulatorsRegulatory Environment2. Introduction to DepositoryFunctions of a DepositoryLegal Framework of Depositories OperationNeed for a depository systemWhat is a Depository?3. Depository and its Business PartnersClearing Corporation (CC)Depository ParticipantsRTAs4. Functions of Depository Participant-Account OpeningBeneficial Owner AccountChanges in Client DetailsClearing Member AccountClosure of AccountFreezing of AccountsImplementation of the framework for Accreditation of InvestorsMapping of UCC to demat account of clientsTypes of Account5. Functions of Depository Participant-Account OperationsInternet Based Depository Operations of CDSLInternet Based Depository Operations of NSDLMapping of UCC to demat account of clientsOperations of a Joint Account6. Functions of Depository Participant-Transmission and NominationNomination for SecuritiesTransmission of Securities7. Functions of Depository Participant-DematerialisationConversion of Mutual Fund unitsDematerialisation ProcessInternational Securities Identification Number (ISIN)Reconversion of Mutual Fund UnitsRematerialisation8. Functions of Depository Participant-Trading and SettlementHandling of Clients' Securities by Trading Members/Clearing MembersInteroperabilityProcedure for Subscription and Redemption of Mutual Fund UnitsSettlement of Market TransactionsSettlement of Off-Market TransactionsStamp Duty Rules9. Special Services - Pledge & HypothecationMargin obligations to be given by way of Pledge/ Re-pledge in the Depository SystemProcedure for Pledge/HypothecationRecording of Non Disposal Undertaking (NDU) in the Depository SystemUnilateral Closure (Unpledge) of Pledge10. Special Services - Public Offering / Corporate ActionsConcept of Corporate ActionsProcedure for Corporate ActionsPublic Issue11. Special Services - Debt Instruments & Government SecuritiesCertificate of Deposit (CD)Commercial Paper (CP)Dematerialisation, settlement and redemption processGovernment Securities12. Foreign Portfolio Investors (FPI)The concept of Foreign Portfolio InvestorsEligibility criteria for a Foreign Portfolio Investor applying for FPI Registration to a Designated Depository Participant.Categories of Foreign Portfolio InvestorEligibility criteria of Designated Depository ParticipantEngagement of Designated Depository Participant (DPP)13. Investor servicesIntroduction to Redressal of complaints through (SCORES)Transfer of Shares to Demat Account of IEPF Authority14. Various AnnexuresProcess of Aadhar e-KYC of Resident Investors in the Securities Markets under section 11A of the PMLA, 2002Use of Technology for KYCOperational Mechanism for Margin Pledge

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