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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 Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A) It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
B) It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.
C) If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
D) It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.
E) It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.

2. Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?

A) CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.
B) CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.
C) CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
D) CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
E) CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.

3. Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
B) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
C) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
D) Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
E) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.

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

5. Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
B) Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh
C) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh
D) Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
E) Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore

Solutions: