NISM Exam NISM-Series-VII Question - NISM Series VII - Securities Operations and Risk Management Certification Realistic Guaranteed Questions Answers Pass Guaranteed Quiz

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q333-Q338):

NEW QUESTION # 333
Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A. Two years from the date of the last transaction in the account.
B. Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
C. Seven years from the date of the suspicious transaction report filing.
D. Ten years from the date of account opening.
E. Five years from the date of the specific transaction.

Answer: B

Explanation:
The PMLA stipulates two different retention periods. Records of transactions must be maintained for five years from the date of transaction. However, records of documents evidencing identity of clients and beneficial owners must be maintained for five years after the business relationship has ended or the account has been closed, whichever is later.

NEW QUESTION # 334
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Non-payment of dividend
B. Registration of the company's memorandum of association
C. Incorporation of the company
D. Conduct of Annual General Meetings
E. Appointment of key managerial personnel

Answer: A

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 335
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A. Ready forward contracts in debt securities
B. Infrastructure Investment Trusts (InvITs)
C. Equity Derivatives settled physically
D. Commodity Derivatives
E. Real Estate Investment Trusts (REITs)

Answer: A

Explanation:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.

NEW QUESTION # 336
Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A. Issuance of Indian Currency
B. Investment advice & Research reports
C. Internet-based Online Trading (IBT)
D. Mobile trading & Smart Order Routing (SOR)
E. Margin funding

Answer: B,C,D,E

Explanation:
The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.

NEW QUESTION # 337
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. Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
B. In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.
C. Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
D. In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
E. Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.

Answer: D

Explanation:
The source specifies regarding TREPS: 'Unlike Repo, TREPS facilitate the trading of Repo and the seller of the security has a right to substitute the security.' Also, 'funds borrowed on TREPS are exempted from RBI's CRR/SLR computation.' In contrast, for Repo in Corporate Bonds, the source notes: 'participants cannot borrow against the collateral of their own securities or those of related entities'.

NEW QUESTION # 338
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