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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Under the 'Framework for Adoption of Cloud Services by SEBI Regulated Entities (REs)', which of the following statements correctly describes the permissibility of different cloud deployment models?

A) Community cloud models are treated as 'other cloud models' and are currently prohibited unless explicitly permitted.
B) RES are mandated to use only Community Cloud models hosted within the International Financial Services Centres (IFSC).
C) Public cloud is strictly prohibited for all SEBI Regulated Entities due to data localization concerns.
D) Private cloud is considered an on-premise deployment and is governed by general SEBI circulars (cyber security, outsourcing) rather than the specific cloud framework.
E) Hybrid cloud deployments are prohibited as they combine public and private clouds, creating security vulnerabilities.

2. Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)

A) Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
B) If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.
C) Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.
D) The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
E) The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.

3. In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A) Freezing of the demat account for debits or credits
B) Dematerialization of physical securities
C) Settlement and transfer of securities from one beneficiary account to another
D) Receiving non-cash corporate benefits like bonus shares
E) Pledging of dematerialized securities

4. Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A) For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
B) For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
C) For clients who have a credit balance of less than Rs. 10,000.
D) For clients trading in the derivatives segment with open positions, even if they have excess free cash.
E) For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.

5. Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A) Charitable organizations
B) Pension funds and university funds
C) Corporate bodies
D) Government and Government related investors
E) Entities from Financial Action Task Force (FATF) member countries

Solutions: