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

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

1. While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A) Insurance Companies registered with IRDAI
B) Category II FPIs who are corporate bodies, individuals, or family offices
C) Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
D) Mutual Funds registered with SEBI
E) Public Financial Institutions defined under the Companies Act

2. Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

A) Statement I: Index Futures are cash settled. Statement II: Long dated options have a maximum expiry of 12 months.
B) Statement I: All Index Futures are physically settled. Statement II: Long dated options expire on the first Thursday of the quarter.
C) Statement I: Index Futures expire on the last Friday of the month. Statement II: Long dated options follow only a monthly expiry cycle.
D) Statement I: All Index Futures are cash settled. Statement II: Long dated options are available up to a 5-year expiry cycle with quarterly and half-yearly expiries.
E) Statement I: Index Futures are physically settled. Statement II: Long dated options have a 3-year expiry cycle.

3. Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A) To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
B) To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
C) To automatically convert funds into approved securities if the balance exceeds a specified threshold.
D) To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
E) To audit the member's proprietary trading books and freeze accounts in case of high volatility.

4. Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A) The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.
B) The portfolio manager shall segregate each client's holding in securities in separate accounts.
C) Portfolio Managers may invest in units of Mutual Funds only through the direct plan.
D) The portfolio manager shall not borrow funds or securities on behalf of the client.
E) The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.

5. In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?

A) Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
B) Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.
C) The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
D) Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
E) The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.

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