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

1. Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A) The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
B) Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
C) Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.
D) The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
E) Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.

2. Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A) Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
B) The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
C) Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.
D) These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
E) The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.

3. Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A) It must be credited to the Investor Protection Fund (IPF) of the Exchange.
B) It is distributed equally among all non-defaulting clearing members.
C) It should be credited to the Core Settlement Guarantee Fund (Core SGF).
D) It is transferred to the SEBI General Fund.
E) It is returned to the defaulting member after deducting a 1% processing fee.

4. Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A) It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
B) It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
C) It caters to domestic customers only, offering products in foreign currency.
D) It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
E) It operates in Indian Rupee (INR) but is exempt from RBI regulations.

5. Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A) Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.
B) Because they are not required to pay margins in the F&O segment.
C) Because their trading volumes are too high to be accommodated in a net settlement process.
D) Because they are subject to different tax treaties which prevent segment-wise netting.
E) Because they trade through Custodians who do not have clearing rights in the F&O segment.

Solutions: