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

1. Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

A) SEBI (Depository & Participants) Regulations, 2018
B) Depositories Act, 1996
C) SEBI (Intermediaries) Regulations, 2008
D) SEBI (Prohibition of Insider Trading) Regulations, 2015
E) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

2. Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A) Portfolio Managers may invest in units of Mutual Funds only through the direct plan.
B) The portfolio manager shall not borrow funds or securities on behalf of the client.
C) The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.
D) The portfolio manager shall segregate each client's holding in securities in separate accounts.
E) The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.

3. For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A) Flat rate of 10% of the contract value.
B) Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.
C) Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
D) Based on 3.5 sigma scaled up by root 3.
E) 25% of annualized EWMA volatility subject to minimum 10%.

4. A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.
B) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
C) Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.
D) Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.
E) Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.

5. In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A) The entire Core SGF corpus on a pro-rata basis.
B) Stock Exchange contribution to the Core SGF.
C) Clearing Corporation resources equal to 5% of the segment MRC.
D) Capped additional contribution by non-defaulting members.
E) Penalties credited to the Core SGF.

Solutions: