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

1. Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

A) The headroom for conversion is calculated based on the total paid-up capital of the issuing company rather than the specific number of IDRs issued.
B) Investors can request redemption into underlying shares at any time, but the underlying shares must be held by a domestic custodian registered with SEBI.
C) Redemption is permitted after 1 year from the date of listing, subject to available headroom calculated as originally issued IDRs minus outstanding IDRs adjusted for redemptions.
D) Two-way fungibility is strictly prohibited; investors can only convert underlying shares into IDRs but cannot redeem IDRs into shares.
E) Redemption is permitted immediately upon listing, provided the fungibility is restricted to one-way conversion from IDRs to shares only.

2. Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A) It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
B) It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
C) It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
D) It is used to provide exposure limits to the Clearing Member's other Trading Members.
E) It is used to cover the margin obligation of that specific client only.

3. Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A) Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
B) Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
C) Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
D) Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
E) Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit

4. In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A) The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
B) The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
C) The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
D) The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.
E) The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.

5. A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

A) Funds are netted across segments, but securities are settled separately.
B) There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
C) Sell obligations in T+0 are netted against Buy obligations in T+1 to reduce margin requirements.
D) Obligations are netted at the client level but not at the member level.
E) Netting is permitted only if the member opts for the 'Unified Settlement' facility.

Solutions: