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

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

1. 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) Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
B) Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.
C) 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.
D) Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
E) It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.

2. Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A) Dematerialization
B) Novation
C) Trade Enrichment
D) Multilateral Netting
E) Interoperability

3. When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A) The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
B) The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
C) The VIPV must be conducted offline and the recording uploaded to the KRA system later.
D) The VIPV recording is optional if the client provides a digitally signed self-declaration.
E) The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.

4. Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

A) Masala Bonds
B) Foreign Currency Convertible Bonds (FCCBs)
C) American Depository Receipts (ADRs)
D) Indian Depository Receipts (IDRs)
E) Global Depository Receipts (GDRs)

5. When a Partnership Firm registered under the Indian Partnership Act, 1932 applies for admission as a member of a Stock Exchange, which specific structural requirement must be identified and maintained as per Exchange norms?

A) A minimum of 51% of capital must be held by a designated clearing bank.
B) The firm must convert to a Limited Liability Partnership within 1 year.
C) The applicant must identify a Dominant Promoter Group.
D) The firm must maintain a static profit-sharing ratio for 5 years.
E) All partners must hold NISM Series-VII certification.

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