About NISM NISM-Series-VII Exam Questions

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

1. Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A) Withdrawals are limited to 50% of the account balance on any given day.
B) Funds can be withdrawn directly to third-party vendor accounts for operational expenses.
C) Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
D) Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
E) Funds can be withdrawn only in the self-name of the clearing member.

2. Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A) In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
B) Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
C) Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
D) In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.
E) Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.

3. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Quarterly; within 15 days from the end of the quarter.
B) Half-yearly; within one month from the half-year ending 31st March and 30th September.
C) Annually; along with the Annual Returns by October 31st.
D) Monthly; by the 7th of the succeeding month.
E) Event-based; within 7 days of exceeding the exposure limits.

4. Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A) For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
B) Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.
C) All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
D) Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
E) Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.

5. Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A) Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
B) Any resident individual irrespective of investment limit.
C) Residents are strictly prohibited from dealing in securities listed in IFSC.
D) A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
E) Only resident Qualified Institutional Buyers (QIBs).

Solutions: