NISM Series VII - Securities Operations and Risk Management Certification : NISM-Series-VII

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NISM NISM-Series-VII Exam Syllabus Topics:

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:

1. According to the eligibility criteria for 'Accredited Investors' in the Indian securities market, which of the following financial profiles satisfies the requirements for an Individual or HUF to obtain accreditation?

A) Annual Income 2 INR 50 Lakhs AND Net Worth INR 5 Crore
B) Net Worth 2 INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets
C) Net Worth 2 INR 5 Crore, with no specific requirement for financial assets
D) Annual Income INR 2 Crore, irrespective of Net Worth composition
E) Annual Income 2 INR 1 Crore AND Net Worth 2 INR 3 Crore

2. In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A) By 9:00 AM on T+1 Day
B) By 1:30 PM on T+1 Day
C) By 4:15 PM on T Day
D) By 11:00 AM on T+1 Day
E) By 7:30 AM on T+1 Day

3. The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A) The CC matches the client level net obligations with the Block details provided by the depositories.
B) The CC matches the client's available margin in the cash segment with the value of securities blocked.
C) The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
D) The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
E) The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.

4. Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A) Global Depository Receipts (GDRs)
B) Indian Depository Receipts (IDRs)
C) External Commercial Borrowings (ECBs)
D) American Depository Receipts (ADRs)
E) Foreign Currency Convertible Bonds (FCCBs)

5. Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A) Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
B) The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
C) Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
D) The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
E) Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.

Solutions: