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

1. Besides the settlement of fund obligations, the distinct clearing bank account opened by a Clearing Member is mandated to be used for which of the following sets of transactions?

A) Collection of dividends, payment of stamp duty to state governments, and GST payments.
B) Disbursement of loans to clients and interest payments on overdraft facilities.
C) Payment of staff salaries, office maintenance, and proprietary trading losses.
D) Investment in mutual funds, IPO applications, and portfolio management services.
E) Payment of margins, release and enhancement of collateral, and payment of penal charges.

2. Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

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

3. In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

A) An individual investor whose total annual income is less than two lakhs rupees
B) An investor who trades strictly in the cash segment with a turnover less than two lakhs rupees
C) An individual investor (Resident Indians, NRIs, HUF) who applies for specified securities for a value of not more than two lakhs rupees
D) Any investor who applies for specified securities for a value of not more than five lakhs rupees
E) Any non-institutional investor applying for securities up to ten lakhs rupees

4. Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A) Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore
B) Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh
C) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
D) Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
E) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh

5. A clearing member fails to discharge their funds obligations at the notified time. According to the NISM workbook, this failure renders the member liable for specific consequences regarding their operations. Which of the following is explicitly mentioned as a potential liability/action?

A) Mandatory liquidation of all client assets held in the pool account.
B) Withdrawal of trading facility.
C) Automatic cancellation of the certificate of registration by SEBI.
D) Suspension of the clearing bank's license.
E) Immediate transfer of the clearing member's proprietary trades to the Investor Protection Fund.

Solutions: