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

1. What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A) It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
B) It allows the CM to act as a Custodian for institutional clients without separate registration.
C) It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
D) It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
E) It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.

2. According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

A) Fixed percentage haircut of 50%; Limit not to exceed 25% of total liquid assets.
B) No limit on quantity; Haircut based strictly on credit rating (AAA: 10%, AA: 15%).
C) Minimum haircut of 10% (Fixed percentage or VaR based); Limit not to exceed 10% of the total liquid assets of the clearing member.
D) VaR based haircut; Limit not to exceed 50% of the cash component of liquid assets.
E) Treated as Cash Equivalent with 0% haircut if rated AAA.

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

4. In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A) Custodians are Clearing Members (like PCMs) but do not possess trading rights.
B) Custodians automatically act as the counterparty for all institutional trades.
C) Custodians are exempt from registration with SEBI if they are registered banks.
D) Custodians are primarily responsible for executing trades on the exchange floor.
E) Custodians are registered as Trading Members but outsource clearing to PCMs.

5. What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A) Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
B) Automatic sweeping of securities from the client's demat account at 1 PM.
C) Only by way of early pay-in using block mechanism.
D) Inter-depository transfer from the client's account to the Clearing Corporation's account.
E) Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.

Solutions: