NISM NISM-Series-VII Test Vce, NISM-Series-VII Practice Mock

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 2: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Trade execution 3. Settlement processing
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 4: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 5: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 6: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q91-Q96):

NEW QUESTION # 91
According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

A. VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
B. Fixed percentage haircut of 50%; Limit not to exceed 25% of total liquid assets.
C. Treated as Cash Equivalent with 0% haircut if rated AAA.
D. Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.
E. No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).

Answer: D

Explanation:
As per the acceptable Liquid Assets table and notes: For Corporate Bonds, the haircut is 'Fixed percentage based or VaR based Haircut... To begin with the haircut shall be a minimum of 10 percent.' The limit is 'Not to exceed 10 percent of the total liquid assets of the clearing member.'

NEW QUESTION # 92
To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A. T+3 days
B. T+2 days
C. T+5 days
D. T+6 days
E. T+1 days

Answer: A

Explanation:
The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'

NEW QUESTION # 93
A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Withdrawals are restricted to 50% of the account balance on any given trading day.
B. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
C. Funds can be withdrawn only in 'self-name' of the Clearing Member.
D. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
E. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.

Answer: C

Explanation:
According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.

NEW QUESTION # 94
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the client level net obligations with the Block details provided by the depositories.
B. The CC matches the client's available margin in the cash segment with the value of securities blocked.
C. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
D. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
E. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.

Answer: A

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 95
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
B. Rebate on Corporate Tax for the first 2 years only.
C. Waiver of Import Duty on Gold and Silver only.
D. Exemption from GST only.
E. Exemption from Stamp Duty and Registration Fees only.

Answer: A

Explanation:
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

NEW QUESTION # 96
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