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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Half-yearly; within one month from the half-year ending 31st March and 30th September.
B) Event-based; within 7 days of exceeding the exposure limits.
C) Quarterly; within 15 days from the end of the quarter.
D) Monthly; by the 7th of the succeeding month.
E) Annually; along with the Annual Returns by October 31st.

2. Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A) Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh
B) Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore
C) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
D) Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
E) Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh

3. Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A) Two years from the date of the last transaction in the account.
B) Seven years from the date of the suspicious transaction report filing.
C) Ten years from the date of account opening.
D) Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.
E) Five years from the date of the specific transaction.

4. Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A) The funds can be used to settle the running accounts of other clients to ensure liquidity.
B) The funds must be immediately transferred to the TM's proprietary account.
C) The funds should be invested in equity mutual funds to generate returns for the client.
D) The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
E) The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.

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

Solutions: