CS Executive Capital Markets & Securities Laws PYQ December 2013: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
December 2013
32 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Capital Markets & Securities Laws PYQS (December 2013). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Aishwarya Ltd. proposes to issue 10,00,000 share warrants to its promoters. The share warrants give an option to buy shares at a predetermined price. From the following share price
- From the following share price data, identify the price at which share warrants should be issued and the amount payable by the promoters at the time of allotment : The average of t
- From the following share price data, identify the price at which share warrants should be issued and the amount payable by the promoters at the time of allotment : The average of t
- Priyanka Ltd. is planning to come out with an IPO. For this purpose, it has obtained IPO grading from three agencies, which are: IPO-3, IPO-4 and IPO-5. Explain the meaning of IPO
- A company is planning to place privately 10 years, 11.50% debentures. Most of such debentures would be issued to a venture capitalist who is looking for an exit route. Write a brie
- What do you understand by 'registrar to an issue'? State various activities carried out by the registrar to an issue.
- Discuss the restrictions put by SEBI on the business activities of a collective investment management company (CIMC).
- What do you mean by SME Exchange? Discuss the role of Company Secretary in the model listing agreement laid down by SEBI for SMEs for the purpose of listing.
- Distinguish between the following: 'Pure instruments' and 'hybrid instruments'.
- Distinguish between the following: 'Book closure' and 'record date'.
- Distinguish between the following: 'Hedge funds' and 'leverage funds'.
- Explain briefly the following: Mezzanine financing
- Explain briefly the following: Social venture funds.
- "STRIPs in government securities will ensure availability of sovereign zero coupon bonds, which will lead to the development of a market determined zero coupon yield curve (ZCYC)."
- Discuss the steps involved in the process of factoring.
- What do you understand by infrastructure debt fund scheme? Discuss the eligibility criteria required to be fulfilled by a mutual fund for launching such a scheme.
- Discuss briefly the various categories of alternative investment fund (AIF).
- "Roadshows are in fact, a conference by the issuer company with the potential/future/ prospective investors." Elucidate.
- Comment on the following statements: Book-building process of determining price of a public issue is preferred in case of initial public offer (IPO) while fixed price process is us
- Comment on the following statements: Investor Education and Protection Fund (IEPF) is set-up only for educating investors.
- Comment on the following statements: The option to participate in ESOP/ESPS scheme is not open for all employees of the company.
- Comment on the following statements: A company cannot offer shares at different prices to different sets of people in a particular public issue.
- Comment on the following statements: Every institutional buyer is a qualified institutional buyer (QIB).
- What is SCORES? Discuss the salient features of SCORES.
- Briefly explain the provisions relating to continuous listing requirements as enshrined under the Securities Contracts (Regulation) Rules, 1957.
- What disclosures, as prescribed by the SEBI, are to be made by an acquirer while acquiring the shares of another company ?
- Write notes on the following: Powers of Securities Appellate Tribunal (SAT)
- Write notes on the following: Concurrent audit of depository participants
- Write notes on the following: Different methods of raising funds by a company from primary market
- Write notes on the following: Draft offer document
- Write notes on the following: Internal audit of portfolio manager.
- Insider trading normally means trading in shares of a company by the persons who are in the management of the company or close to them on the basis of price sensitive information w
How to Prepare for CS Executive Capital Markets & Securities Laws
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