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

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

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

2. If the Core SGF is utilized during a calendar month due to a default, specific rules apply to the replenishment of contributions by members. Which of the following is the correct restriction on such replenishment?

A) Members are liable to replenish the fund only if the default amount exceeds Rs. 100 Crore.
B) Replenishment is voluntary and depends on the profitability of the non-defaulting members.
C) Members must replenish the fund immediately after every default without any limit on the number of times in a month.
D) Contribution towards replenishment by members is restricted to only once during a period of 30 calendar days, regardless of the number of defaults during the period.
E) Replenishment is deferred to the next financial quarter to avoid liquidity stress on members.

3. In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A) Adjudication
B) Indemnification
C) Novation
D) Subrogation
E) Arbitration

4. The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A) It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
B) It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
C) It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
D) It involves the handling of exceptional situations like auction settlement and bad delivery.
E) It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.

5. Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A) 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
B) 10 calendar days, extendable by 10 calendar days upon payment of late fees.
C) 30 calendar days, extendable by 15 days upon approval by the MI.
D) 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
E) 45 calendar days, with no provision for extension to ensure speedy disposal.

Solutions: