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NISM-Series-VII Reliable Dumps Ebook & NISM-Series-VII Top Questions

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q110-Q115):

NEW QUESTION # 110
A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

A. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 5 Crore
B. Total Indebtedness: Rs. 20 Crore; Maximum Exposure: Rs. 50 Crore
C. Total Indebtedness: Rs. 30 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore
D. Total Indebtedness: Rs. 100 Crore; Maximum Exposure: 5 times Net Worth
E. Total Indebtedness: Rs. 50 Crore; Maximum Exposure: Borrowed Funds + Rs. 10 Crore

Answer: A

Explanation:
According to the leverage and exposure limits for margin trading: 1) The total indebtedness of a broker for the purpose of margin trading shall not exceed 5 times of his net worth (5 10 Cr = 50 Cr). 2) The maximum allowable exposure of the broker towards the margin trading facility shall not exceed the borrowed funds and 50% of his 'net worthe (Borrowed Funds + 50% of 10 Cr = Borrowed Funds + 5 Cr).

NEW QUESTION # 111
Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A. It requires manual intervention by the broker for every order to ensure risk compliance.
B. Investment managers acting on behalf of institutional clients are prohibited from using DMA.
C. It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
D. Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
E. It is available to all retail investors without specific authorization.

Answer: C

Explanation:
Direct Market Access (DMA) is a facility which allows brokers to offer clients direct access to the exchange trading system through the broker's infrastructure 'without manual intervention by the broker'. Advantages include 'faster execution of client orders, reduced risk of errors associated with manual order entry'. Brokers must specifically authorize clients or investment managers after fulfilling KYC and due diligence.

NEW QUESTION # 112
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 7:30 AM on T+1 Day
B. By 9:00 AM on T+1 Day
C. By 1:30 PM on T+1 Day
D. By 4:15 PM on T Day
E. By 11:00 AM on T+1 Day

Answer: A

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 113
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Eligibility for priority sector lending classification
B. Waiver of stamp duty on the underlying collateral
C. Exemption from RBI's CRR/SLR computation
D. Automatic guarantee by the Central Government
E. Exemption from Securities Transaction Tax (STT)

Answer: C

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 114
What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They must seek prior approval from SEBI for every individual settlement run.
B. They must implement a separate risk management framework for holiday settlements.
C. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
D. They must extend the settlement cycle to T+2 temporarily.
E. They must operate with reduced staff to minimize coordination errors.

Answer: C

Explanation:
The text explicitly states: 'The CCs and depositories shall follow a strict time schedule to ensure that the settlements are completed on the same day.'

NEW QUESTION # 115
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