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

1. In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A) The instruction is partially processed by the depositories up to the matching obligation quantity.
B) The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
C) The instruction is rejected in its entirety due to the discrepancy in quantity.
D) The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
E) The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.

2. Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A) The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
B) Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
C) In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
D) Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
E) As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.

3. A securities broking firm configures its Compliance Management System (CMS) to manage data retention policies in accordance with the Prevention of Money-Laundering Act (PMLA), 2002.
Review the JSON configuration snippet below regarding record retention timelines:

Based on the SEBI directives and PMLA provisions, which setting in the configuration is legally NON-COMPLIANT?

A) transaction_records: 5_years_from_transaction_date
B) suspicious_transaction_reports: 5_years_from_reporting_date
C) Both transaction_records and suspicious_transaction_reports
D) client_identity_documents: 3_years_from_account_closure
E) All settings are compliant

4. Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A) Novation
B) Multilateral Netting
C) Dematerialization
D) Trade Enrichment
E) Interoperability

5. Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A) Institutional trades are subject to upfront margin collection similar to retail client trades.
B) Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.
C) The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
D) Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.
E) Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.

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