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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) Private cloud is considered an on-premise deployment and is governed by general SEBI circulars (cyber security, outsourcing) rather than the specific cloud framework.
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) Community cloud models are treated as 'other cloud models' and are currently prohibited unless explicitly permitted.
E) Hybrid cloud deployments are prohibited as they combine public and private clouds, creating security vulnerabilities.

2. A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.
B) Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.
C) Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
D) Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.
E) Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.

3. Which of the following statements correctly describe the logic for blocking margins from collateral for different types of trades under the client collateral segregation framework? (Select all that apply)

A) If a CM'S proprietary collateral is insufficient for a TM's proprietary trade, the CC utilizes the Core SGF immediately.
B) For a client trade, if TM proprietary collateral is insufficient, the residual margin is blocked from the collateral of other clients of the same TM.
C) For a trade from a client account, if client collateral is insufficient, the residual margin is blocked from the TM proprietary collateral.
D) For a trade from the proprietary account of a TM, margin is first blocked from the TM proprietary collateral, and if insufficient, from the CM proprietary collateral.
E) Margins based on trades from the proprietary account of the CM are blocked from the proprietary collateral of the CM only.

4. Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A) Stock brokers must obtain prior permission from the exchange before offering MTF.
B) Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
C) Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
D) Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.
E) Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.

5. In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

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

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