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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q280-Q285):

NEW QUESTION # 280
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

Answer: B

Explanation:
The source explicitly lists the functions of Clearing Members. Under Risk Management, it lists: 'Setting limits based on upfront deposits / margins for each trading member/client and monitoring positions on a continuous basis.' Option A is the 'Clearing' function. Option B isthe 'Settlement' function.


NEW QUESTION # 281
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

Answer: B

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.


NEW QUESTION # 282
For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

Answer: A

Explanation:
The guidelines specify that Session login details should not be stored on the devices used for internet-based trading and securities trading using wireless technology. Furthermore, The broker's server routing orders to the exchange trading system shall be located in India.


NEW QUESTION # 283
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

Answer: C

Explanation:
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.


NEW QUESTION # 284
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

Answer: A,B,E

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.


NEW QUESTION # 285
......

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