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

1. SEBI introduced Chapter IVA in the SEBI (Stock Brokers) Regulations, 1992, to mandate an 'Institutional Mechanism for Prevention and Detection of Fraud or Market Abuse'. Which of the following is NOT explicitly listed as a required component of this mechanism?

A) Systems for surveillance of trading activities and internal controls
B) Mandatory rotation of the Principal Officer every 3 years
C) Whistle Blower Policy
D) Obligations of the stock-broker and its employees
E) Escalation and reporting mechanisms

2. Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A) By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
B) By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
C) By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
D) By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.
E) By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.

3. Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A) It executes client orders on the stock exchange platform on behalf of the trading members.
B) It guarantees settlement of trades through the process of novation.
C) It calculates and controls the margining mechanism.
D) It reduces the number of payments due by netting transactions.
E) It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.

4. When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A) At the valuation price used for the initial valuation debit plus a 5% close-out charge.
B) At the weighted average price of the security on the trading day plus the standard deviation margin.
C) At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.
D) At the closing price of the security on the day of the auction plus a fixed penalty of 10%.
E) At the highest price recorded for the security during the last 52 weeks.

5. Under the framework where Unified Payment Interface (UPI) is used as a payment mechanism with ASBA for public issues, individual investors can submit their bid-cum-application forms with UPI IDs to which of the following entities? (Select all that apply)

A) A Stock Broker registered with a recognised stock exchange (eligible for this activity)
B) A Syndicate Member
C) The Reserve Bank of India designated cell
D) A Registrar to an issue and share transfer agent (eligible for this activity)
E) A Depository Participant (eligible for this activity)

Solutions: