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

1. As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

A) Equity shares of a company incorporated outside India
B) REITs and InviTs
C) Debt securities issued by eligible issuers
D) Depository receipts
E) Currency and interest rate derivatives

2. In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?

A) Front Office: Risk Management; Middle Office: Order Matching; Back Office: Clearing and Settlement
B) Front Office: Settlement; Middle Office: Order Matching; Back Office: Risk Management
C) Front Office: Trade Confirmation; Middle Office: Routing of order; Back Office: Order Matching
D) Front Office: Clearing; Middle Office: Risk Management; Back Office: Placing of Order
E) Front Office: Routing of order; Middle Office: Risk Management; Back Office: Confirmation of trades

3. Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)

A) The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
B) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
C) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
D) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
E) Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.

4. According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A) Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
B) Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
C) Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
D) Net Worth of INR 6 Crore with no specific requirement on financial assets.
E) Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.

5. According to RBI guidelines for issuance, which of the following combinations correctly specifies the minimum denomination, maturity range, and minimum credit rating required for a Commercial Paper (CP)?

A) ?25 lakh and multiples thereof; 30 days to 1 year; Rating 'A1'
B) ?5 lakh and multiples thereof; 15 days to 3 years; Rating 'A3'
C) ? 10 lakh and multiples thereof; 7 days to 1 year; Rating 'AA'
D) ? 1 lakh and multiples thereof; 15 days to 1 year; Rating 'A2'
E) ?5 lakh and multiples thereof; 7 days to 1 year; Rating 'A3'

Solutions: