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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under Section 18A of the Securities Contracts (Regulation) Act, 1956, contracts in derivatives are considered legal and valid only if they satisfy specific conditions. Which of the following is a mandatory condition for such validity?

A) The contract must be settled bilaterally between the buyer and the seller without an intermediary.
B) The contract must be traded Over-the-Counter (OTC) between two financial institutions.
C) The contract must be traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange.
D) The contract must be validated by the Reserve Bank of India (RBI) prior to execution.
E) The contract must involve physical delivery of the underlying asset upon expiry.

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

3. Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A) The Relevant Authority (of the Exchange/Clearing Agency)
B) The Depository Participant (DP)
C) The Securities Appellate Tribunal (SAT)
D) The Reserve Bank of India (RBI)
E) The Association of Mutual Funds in India (AMFI)

4. Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A) Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
B) Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
C) Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
D) Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
E) Shortages are carried forward to the T+1 auction session conducted on the next day.

5. 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) Appointment of key managerial personnel
C) Incorporation of the company
D) Registration of the company's memorandum of association
E) Non-payment of dividend

Solutions: