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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A) Conduct of Annual General Meetings
B) Non-payment of dividend
C) Registration of the company's memorandum of association
D) Appointment of key managerial personnel
E) Incorporation of the company

2. SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A) All institutional investors including Foreign Portfolio Investors (FPIs).
B) Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
C) An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
D) An investor trading through different Trading Members who use different Clearing Members.
E) An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).

3. In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A) The entire Core SGF corpus on a pro-rata basis.
B) Penalties credited to the Core SGF.
C) Capped additional contribution by non-defaulting members.
D) Clearing Corporation resources equal to 5% of the segment MRC.
E) Stock Exchange contribution to the Core SGF.

4. Which of the following instruments allow Indian companies to raise resources from international capital markets?

A) Indian Depository Receipts (IDRs)
B) External Commercial Borrowings (ECBs)
C) Global Depository Receipts (GDRs)
D) Masala Bonds
E) Foreign Currency Convertible Bonds (FCCBs)

5. While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A) Category II FPIs who are corporate bodies, individuals, or family offices
B) Category I Foreign Portfolio Investors (Sovereign Wealth Funds)
C) Public Financial Institutions defined under the Companies Act
D) Insurance Companies registered with IRDAI
E) Mutual Funds registered with SEBI

Solutions: