NISM NISM-Series-VII real exam prep : NISM Series VII - Securities Operations and Risk Management Certification

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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 accurately describe the operational mechanisms and participants of the Indian Money Market segments? (Select all that apply)

A. Treasury Bills (T-bills) are zero coupon securities issued at a discount and traded on the NDS-OM platform.
B. Repo transactions against Government Securities are traded/reported on the Clearcorp Repo Order Matching System (CROMS).
C. Notice Money transactions refer to borrowing for a period specifically between 15 days and 1 year.
D. All India Financial Institutions can issue Certificates of Deposit (CDs) for a period not exceeding 1 year.
E. Call money market transactions are restricted to Scheduled Commercial Banks (SCBs) and Primary Dealers (PDs).

Question 2

Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A. Investment Advisors and Research Analysts
B. Registrars and Transfer Agents, Custodians, and Depositories
C. Foreign Portfolio Investors (FPls) and Mutual Funds
D. Merchant Bankers and Underwriters
E. Stock Brokers and Sub-brokers

Question 3

According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)

A. Disciplinary actions
B. Immediate forfeiture of the member's personal assets
C. Actions as decided by the Relevant Authority
D. Withdrawal of trading facility
E. Automatic transfer of the member's clearing bank account to the Investor Protection Fund

Question 4

In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. Risk arising from loans extended to group companies or debit balances of clients.
B. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
C. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
D. Disruption in settlement systems causing a crisis of confidence among investors.
E. Loss resulting from the breakdown of internal controls leading to unauthorized trading.

Question 5

A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
B. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
C. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
D. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
E. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.

Solutions: