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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q63-Q68):

NEW QUESTION # 63
While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

A. Interest Rate Futures
B. Index Options
C. Currency Derivatives
D. Stock Options (Physical Settlement)
E. Index Futures

Answer: C

Explanation:
The daily and final settlement of derivative trades is generally done on T+1 working day basis, except for final settlement of currency derivatives segment, where final settlement takes place on a T+2 basis.

NEW QUESTION # 64
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
B. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
C. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
D. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
E. Brokers fund the entire IPO application amount for the investor interest-free.

Answer: A

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 65
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
B. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
C. Disruption in settlement systems causing a crisis of confidence among investors.
D. Risk arising from loans extended to group companies or debit balances of clients.
E. Loss resulting from the breakdown of internal controls leading to unauthorized trading.

Answer: D

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 66
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. The Depository (NSDL or CDSL)
C. The Stock Exchange
D. The Investor Protection Fund Trust
E. Securities and Exchange Board of India (SEBI)

Answer: C

Explanation:
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

NEW QUESTION # 67
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. The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
C. Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.
D. Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
E. Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.

Answer: B,C,E

Explanation:
Statement A is correct (CP code modification on T day upto 4:15 pm). Statement B is correct (Final obligation download on T+1 by 9:00 am). Statement D is correct (CC performs multilateral netting). Statement C is incorrect because members must maintain separate and distinct primary clearing accounts for each segment. Statement E is incorrect because institutional trades are generally exempted from upfront margins (margined on T+1).

NEW QUESTION # 68
......

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New NISM-Series-VII Exam Discount - Latest NISM-Series-VII Learning Material

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Latest NISM-Series-VII Learning Material | New NISM-Series-VII Test Book

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q63-Q68):

Practical New NISM-Series-VII Exam Discount | Amazing Pass Rate For NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification | Effective Latest NISM-Series-VII Learning Material

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