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

1. Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A) The execution date on the DIS cannot be a future date; it must be the same as the submission date.
B) The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
C) The DIS must be counter-signed by a SEBI registered official.
D) The DIS must be signed only by the primary holder in case of joint accounts.
E) The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.

2. Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

A) Foreign Currency Convertible Bonds (FCCBs)
B) Indian Depository Receipts (IDRs)
C) Masala Bonds
D) Global Depository Receipts (GDRs)
E) External Commercial Borrowings (ECBs)

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

4. A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A) The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.
B) The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
C) The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
D) The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
E) The actual settlement of funds must be done at least once in a financial year.

5. While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A) Infrastructure Investment Trusts (InvITs)
B) Real Estate Investment Trusts (REITs)
C) Ready forward contracts in debt securities
D) Equity Derivatives settled physically
E) Commodity Derivatives

Solutions: