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

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A) Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
B) Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
C) Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
D) Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
E) Stock brokers must obtain a separate license from AMFI for providing advisory services.

2. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It involves the handling of exceptional situations like auction settlement and bad delivery.
B) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
C) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
D) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.
E) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.

3. In the context of handling settlements during holidays, specific provisions are made regarding the utilization of assets received from a prior settlement. How is the pay-out from the first settlement treated in relation to subsequent obligations?

A) The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).
B) It is automatically converted into liquid assets and pledged to the Core Settlement Guarantee Fund.
C) It must be transferred to the client's beneficiary account immediately and cannot be used for subsequent proprietary obligations.
D) It is locked in the member's pool account for 24 hours to prevent misuse.
E) It is returned to the Clearing Corporation to cover potential shortfalls in the subsequent settlement's auction.

4. Regarding the beta version of the T+0 rolling settlement cycle introduced on an optional basis, which of the following operational parameters is mandated by SEBI?

A) Securities shortages in the T+0 market shall be handled by conducting an auction session on T+1 day.
B) Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles to improve liquidity.
C) The price band in the T+0 segment will be fixed at +1- 10% of the previous day's closing price.
D) Trading hours for the T+0 segment shall be identical to the T+1 segment, i.e., 09:15 AM to 3:30 PM.
E) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.

5. SEBI has formalized a Risk Based Supervision (RBS) model for market intermediaries. Which of the following sequences correctly identifies the four distinct steps of this supervision model?

A) Risk Identification -> Risk Analysis -> Risk Mitigation -> Risk Reporting
B) Data Collection -> Compliance Check -> Risk Scoring -> Inspection
C) Risk Assessment -> Assigning Risk & Impact Rating -> Determining Supervisory Risk Rating Score -> Supervisory Approach
D) Client Profiling -> Transaction Monitoring Risk Rating -> Surveillance Action
E) Internal Audit External Audit -> Risk Classification -> Penalty Determination

Solutions: