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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A) It allows the CM to act as a Custodian for institutional clients without separate registration.
B) It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
C) It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
D) It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
E) It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.

2. Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

A) The TM must retain the funds until the next quarterly settlement date chosen by the client.
B) The TM is permitted to transfer the funds to the Investor Protection Fund (IPF) if the client remains inactive for more than 30 days.
C) The TM must return the entire credit balance to the client on the upcoming settlement date of the monthly running account settlement cycle, irrespective of the client's preference for a quarterly cycle.
D) The TM can continue to maintain the running account if the credit balance is below ? 10,000.
E) The TM must settle the account within 24 hours of the 30th day of inactivity.

3. According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A) It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
B) It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
C) It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
D) It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
E) It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.

4. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For clients who have a credit balance of less than Rs. 10,000.
B) For clients trading in the derivatives segment with open positions, even if they have excess free cash.
C) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
D) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
E) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).

5. When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A) Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.
B) Client and Custodial Participant code modification is permitted to rectify errors.
C) All unexecuted orders shall be cancelled immediately.
D) Non-margined orders are accepted without restriction to maintain liquidity.
E) Fresh orders placed by the member to reduce the open position will be accepted.

Solutions: