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NISM-Series-VII Reliable Test Materials & New NISM-Series-VII Test Practice

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q94-Q99):

NEW QUESTION # 94
Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A. Within 7 calendar days of the review sought
B. Within 30 calendar days of the review sought
C. Within 10 calendar days of the review sought
D. Within 21 calendar days of the review sought
E. Within 15 calendar days of the review sought

Answer: C

Explanation:
According to the SCORES 2.0 framework, the Designated Body shall stipulate the timeline in such a manner to ensure that the Designated Body submits the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.

NEW QUESTION # 95
Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh
B. Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
C. Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh
D. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
E. Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore

Answer: D

Explanation:
The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.

NEW QUESTION # 96
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. A direct hotline to the Ministry of Finance.
B. A banking counter for immediate disbursement of Investor Protection Fund claims.
C. A dedicated legal aid clinic with free lawyers for filing civil suits.
D. A library containing all annual reports of listed companies for the last 10 years.
E. Arbitration and appellate arbitration facility including video-calling facility.

Answer: E

Explanation:
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

NEW QUESTION # 97
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.

Answer: C,D,E

Explanation:
Statement A is correct (Statement must contain extracts). Statement B is correct (Dispute notice within 30 working days). Statement D is correct (Settlement frequency is monthly/quarterly). Statement C is incorrect because 'There is no inter-client adjustment for the purpose of settlement'. Statement E is incorrect because funds lying with the Clearing Member/Clearing Corporation must be transferred within 'three working days' from the request, not 7.

NEW QUESTION # 98
The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A. Interest Rate Derivatives
B. Securities Lending and Borrowing Scheme (SLB)
C. Equity Cash Segment
D. Equity Derivatives
E. Currency Derivatives

Answer: B

Explanation:
The interoperability framework is applicable to all recognized clearing corporations excluding those in IFSC. However, specific schemes are excluded: The Securities Lending and Borrowing Scheme (SLB), Commodity Derivatives, Tri-party repo, Offer for Sale, etc., are kept outside Inter-operability.

NEW QUESTION # 99
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