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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 SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A) Government and Government related investors such as central banks and sovereign wealth funds
B) Appropriately regulated entities such as insurance entities from FATF member countries
C) Corporate bodies and Family offices
D) Unregulated funds in the form of limited partnerships
E) Pension funds and university funds

2. To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

A) Clearing Members (CM) report only the aggregate figures to the CC, keeping client-level data internal.
B) Trading Members (TM) report directly to the Stock Exchanges, which then forward data to the CC.
C) Clients report directly to the Clearing Corporation via the web portal.
D) Trading Members (TM) report to the Clearing Member (CM), and the CM reports to the Stock Exchanges and Clearing Corporations.
E) Depositories report the collateral usage directly to the Clearing Corporation based on pledge data.

3. The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A) Schedule I
B) Schedule V
C) Schedule XI
D) Schedule X
E) Schedule VII

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

5. Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A) Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
B) Stock brokers must obtain prior permission from the exchange before offering MTF.
C) Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
D) Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
E) Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.

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