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

1. Regarding the utilization of interest or income received out of investments made from the Investor Protection Fund (IPF), which of the following statements accurately reflects the regulatory mandate for ploughing back funds into the corpus?

A) At least 70% of interest or income from IPF received every year shall be ploughed back to IPF.
B) 100% of the interest or income received every year must be strictly used for settling claims and cannot be reinvested.
C) At least 50% of the interest or income must be ploughed back, while the remaining 50% can be used for administrative expenses.
D) The entire interest income must be transferred to the Investor Services Fund (ISF) annually.
E) Only the interest earned on the security deposit of the issuer companies is ploughed back; other income is free for use.

2. Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

A) Only orders within parameters like Order Quantity, Value Limits, and Price Limits should be pushed to the exchange.
B) The system must maintain separate ledgers for proprietary and client trades but need not monitor them in real-time.
C) The system must have on-line real-time risk management for all orders placed on the exchange trading system.
D) The system should have the capability to generate reports relating to margin requirements and delivery obligations.
E) The system should strictly allow order modification only after trade execution is confirmed by the back office.

3. Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A) A former employee who left the company 12 months prior to the act.
B) An individual who has never held a position in the company.
C) A vendor supplying office stationery on a one-off basis.
D) A shareholder holding 5% interest in the company.
E) A banker of the company.

4. In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A) 4:15 PM on T Day
B) 8:00 PM on T Day
C) 11:00 AM on T+1 Day
D) 9:00 AM on T+1 Day
E) 7:30 AM on T+1 Day

5. Which of the following statements accurately describe the operational guidelines for the Online Dispute Resolution (ODR) mechanism in the Indian Securities Market? (Select all that apply)

A) The Market Participant can initiate dispute resolution through the ODR Portal after giving due notice of at least 15 calendar days to the investor.
B) The ODR Institution must appoint a sole independent and neutral conciliator within 5 days of receipt of the reference.
C) If a Market Participant wishes to pursue online arbitration following an unsuccessful conciliation, they must deposit 50% of the admissible claim value with the relevant Mll.
D) Investors must mandatorily exhaust the SCORES portal process before they can initiate any dispute resolution through the ODR Portal.
E) The conciliator shall attempt to reach a resolution within 21 calendar days, which can be extended by a maximum of 10 calendar days by consent.

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