CS Executive Capital Markets & Securities Laws PYQ December 2018: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
December 2018
36 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Capital Markets & Securities Laws PYQS (December 2018). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- A transaction of the dematerialised equity share took place on the 9th October, 2018 at BSE. According to the Compulsory Rolling Settlement, complete the following table with timel
- The redemption price of Motilal Mutual Fund unit is ₹54 while the front end load and back end load charges are 2% and 3% respectively. Compute: (i) Net Asset Value per unit
- The redemption price of Motilal Mutual Fund unit is ₹54 while the front end load and back end load charges are 2% and 3% respectively. Compute: (ii) Public Offer Price per unit.
- Explain the following credit rating symbols: (i) A
- Explain the following credit rating symbols: (ii) A4
- Explain the following credit rating symbols: (iii) A(SO)
- Explain the following credit rating symbols: (iv) A4(SO)
- Explain the following credit rating symbols: (v) Amfs
- Explain the following credit rating symbols: (vi) A1mfs.
- Explain the following: (a) Certificate of Deposits
- Explain the following: (b) Institutional Trading Platform
- Explain the following: (c) Venture Capital Undertaking
- Explain the following: (d) Offshore Derivative Instrument
- Explain the following: (e) Securitised Debt Instrument.
- Explain the role of securities market in economic growth.
- Define the fund of funds scheme and state the benefits of the scheme.
- What is market abuse ? Explain the functioning of price monitoring.
- Are mutual funds permitted to make overseas investment ? Describe.
- "All Alternative Investment Funds shall ensure transparency and disclosure of information to investors." Comment.
- Regulation 11 of SEBI (Real Estate Investment Trust), Regulations, 2014 provides for rights and responsibilities of sponsor(s). Explain.
- "SEBI has come a long way since its inception as an institution regulating the Indian Capital Markets. It has initiated a lot of reforms to make the market more safer for customers
- What guidelines have been issued by SEBI for public issue of units of InvITS ? Describe them.
- Critically examine the following: (a) In depositories establishment of connectivity with NSDL and CDSL is there.
- Critically examine the following: (b) Delisting is not permissible under certain circumstances.
- Critically examine the following: (c) Promoter's contribution to be brought in before public issue opens.
- Critically examine the following: (d) Chapter III consisting of Regulations 13 to 18 of SEBI (Underwriters) Regulations 1993, deals with obligations and responsibilities of underwr
- Critically examine the following: (e) Schedule A of Insider Trading Regulations lays down the principles and procedures of fair disclosure.
- Explain the services rendered by Share Transfer Agent.
- Who are dissenting shareholders ? Elucidate the conditions of any to provide exit opportunity to them.
- Explain the factors to be considered by SEBI to arrive at the settlement terms.
- "With a view to bring uniformity in the KYC requirements for the securities markets, SEBI has initiated usage of uniform KYC by all SEBI registered intermediaries. In this regard S
- Write notes on the following: (i) Public Announcement
- Write notes on the following: (ii) Investor Education and Protection Fund
- Write notes on the following: (iii) Spot Delivery Contract
- Write notes on the following: (iv) Eligibility for Depository Services
- Write notes on the following: (v) Creeping Acquisition Limit.
How to Prepare for CS Executive Capital Markets & Securities Laws
Use past questions to practise the paper format and review available answers. Check the current syllabus, applicable law and examination duration before attempting a timed paper.