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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q185-Q190):

NEW QUESTION # 185
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is used to provide exposure limits to the Clearing Member's other Trading Members.
B. It is used to cover the margin obligation of that specific client only.
C. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
D. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
E. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.

Answer: B

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 186
Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A. Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
B. Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
C. The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
D. Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
E. Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.

Answer: B

Explanation:
The source states: 'Clearing member can deposit fund in these accounts in any form but withdraw funds from these accounts only in self-name.' This ensures the account is used for its intended purpose of clearing and settlement.

NEW QUESTION # 187
Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A. The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
B. If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
C. In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
D. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
E. Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: A,C,E

Explanation:
Option B is correct: 'In no case the auction shall be held beyond a period of one week from the pay-in day'. Option D is correct: 'Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund... instead of crediting it to the defaulting party's account'. Option E is correct: 'Members participating in the auction... are required to deliver the shares... on or before the auction pay-in day, i.e., subsequent day'. Option A is incorrect as auctions are generally held once unless specially approved. Option C is incorrect because auction seller defaults are closed out at the highest price or 20% over the closing price, not the valuation price.

NEW QUESTION # 188
Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

A. An Institutional Investor (FPI Category l) trading through the same Trading Member and Clearing Member in both segments.
B. A retail investor whose Trading Member clears trades in both F&O and Cash segments through the same Clearing Member.
C. A retail investor whose Trading Member clears F&O trades through Clearing Member 'X' and Cash trades through Clearing Member 'Y'.
D. An investor trading through two different Trading Members who both clear through the same Clearing Member.
E. A Portfolio Management Service (PMS) client who is mandatorily directed to enter into delivery-backed transactions.

Answer: B

Explanation:
The benefit of netting (merged settlements) is available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available if the TM clears through different CMs. It is also not available for institutional investors (including FPIs) and participants like PMS mandated to enter delivery-backed transactions.

NEW QUESTION # 189
Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.

A. American Depository Receipt (ADR)
B. Foreign Currency Convertible Bond (FCCB)
C. External Commercial Borrowing (ECB)
D. Global Depository Receipt (GDR)
E. Masala Bond

Answer: E

Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,.

NEW QUESTION # 190
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