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NISM NISM-Series-VII Exam Syllabus Topics:

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

Question 1

Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A. The portfolio manager shall segregate each client's holding in securities in separate accounts.
B. Portfolio Managers may invest in units of Mutual Funds only through the direct plan.
C. The portfolio manager shall not borrow funds or securities on behalf of the client.
D. The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.
E. The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.

Question 2

For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
B. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
C. High Net Worth Individuals (HNIs) trading in the F&O segment.
D. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
E. Corporate clients trading through a proprietary account of the Trading Member.

Question 3

Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
B. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
C. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
D. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
E. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.

Question 4

Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A. Clearing Corporations continue to maintain segment-wise default waterfalls.
B. The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
C. Netting of delivery obligations is strictly for the purpose of settlement.
D. Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.
E. Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.

Question 5

Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

A. Execution of off-market trades between parties other than the related parties.
B. Transfer of securities to the demat account of the Trading Member for margin purposes (title transfer).
C. Opening a new beneficial owner account or a broking facility with another stock broker.
D. Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries or settlement obligations.
E. Transfer of funds from the bank account of the client to the stock broker's settlement account for meeting margin requirements.

Solutions: