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

1. To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

A) Ensuring the front office staff executes orders without intervention from the risk department.
B) Setting trading limits for individual clients based on their income tax returns only.
C) Reviewing material changes to methodologies, models, and assumptions of risk management by the governing body.
D) Outlining investment guidelines solely for the purpose of maximizing proprietary trading profits.
E) Reporting compliance exceptions to the sales team for immediate rectification.

2. Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)

A) Delivery settlement is optional and can be cash settled if the client chooses.
B) It considers all open futures positions after the close of trading on the expiry day.
C) It applies to Index Futures and Index Options.
D) It considers all in-the-money option contracts which are exercised and assigned.
E) The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.

3. In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

A) It allows the broker to pledge the client's securities with a Non-Banking Financial Company (NBFC) to raise working capital for the brokerage firm.
B) It is a mandatory requirement for opening a demat account and cannot be revoked by the client under any circumstances.
C) It authorizes the broker to transfer securities for off-market trades between unrelated parties to settle personal debts of the client.
D) It grants full power of attorney to the broker to buy and sell securities without specific trade instructions from the client.
E) It explicitly authorizes the broker to access the client's beneficial owner account for the limited purpose of transferring securities to the broker's pool account to meet pay-in obligations.

4. Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A) Gross at the Trading Member level but netted at the Clearing Member level.
B) Netting at the Clearing Member level across all segments.
C) Netting is done across all option contracts for a specific underlying security at the client level.
D) Gross at the individual client level without any netting.
E) After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.

5. Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

A) Units of Debt Exchange Traded Funds (ETFs)
B) Commercial Papers (CPs)
C) Certificates of Deposit (CDs)
D) Listed corporate bonds rated 'AA' or above
E) The participant's own securities or those of related entities

Solutions: