CS Executive Capital Markets & Securities Laws PYQ December 2019: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
December 2019
33 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Capital Markets & Securities Laws PYQS (December 2019). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Outline Large Cap, Mid Cap and Small Cap in the Universe Equity Mutual Fund Schemes as specified by SEBI.
- ABC Mutual Fund provides the following information related to one of its schemes : Size of the scheme : ₹ 3,000 Crore Face value of the units : ₹ 10 Per unit Number of outstanding
- When is a company eligible to issue Commercial Paper? A company issues 90 days commercial paper of the face value of ₹ 1,000 at ₹ 970. The credit rating expenses are 0.5% of the si
- Calculate the value of right, if Number of right shares offered: 15,000 Number of shares held: 5,000 Ex-right price: ₹ 40 Right offer price: ₹ 24 Face value of share: ₹ 10
- Explain Registrar to an issue.
- Explain Direct Market Access.
- Explain Money Market.
- Explain Angel Investor.
- Explain the following: (e) Factoring.
- Explain the reporting requirements in respect of External Commercial Borrowings.
- Explain the concept of Securities Lending and rules applicable thereon, if any.
- A company is planning to place privately 10 years, 11.50% debentures. Most of them would be issued to a venture capitalist who generally looks for an exit route, preferably via sto
- Explain in brief the principal documents involved in issuance of GDRs/Foreign Currency Convertible Bonds.
- Explain and compare Real Estate Investment Trust and Infrastructure Investment Trust.
- What do you understand by Designated Depository Participant (DDP)? What is the eligibility criteria prescribed for the registration of DDP ? Discuss.
- 'The rating transition of some corporate debts or bonds, particularly those issued by financial firms, has been phenomenal - from sound credit to junk'. In view of the above, make
- What is meant by Shares with Differential Voting Rights?
- Name any two companies that have issued such shares (DVR) in India.
- State the provisions relating to the issue of Shares with Differential Voting Rights as per Rule 4 of Companies (Share Capital & Debentures) Rules, 2014.
- Critically examine the following: 'Regulation 46 of SEBI (listing obligations and Disclosures requirements) Regulations, 2015 requires every listed entity to maintain a functional
- Critically examine the following: 'An unlisted company may make an initial public offer of equity shares only subject to certain conditions'.
- Critically examine the following: 'A recognized stock exchange has power to make bye-laws for the regulation and control of contracts'.
- Critically examine the following: 'It is compulsory for the listed entities to provide the facility of e-voting to its shareholders under the SEBI (LODR) Regulations, 2015'.
- Critically examine the following: 'A stock-broker or sub-broker is liable for monetary penalty in respect of various violations'.
- Prepare a brief note for your Managing Director regarding items in respect of which prior intimation is required to be given to the stock exchange in the light of provisions of SEB
- Kalpana, a nominee director on the Board of Roma Ltd., a listed company, informed the Board of Directors during a Board meeting that the next annual report of the company shall con
- Komal Enterprises Ltd. has decided to acquire stake up to 25% of the paid-up share capital of Roma Exims Ltd., which is a listed company and wants to proceed with a public offer pu
- 'A Company Secretary is obliged to ensure certain compliances with regard to SEBI (Prohibition of Insider Trading) Regulations, 2015'. Elucidate.
- Write notes on Private placement of Securities.
- Write notes on ASBA.
- Write notes on Derived Instrument.
- Write notes on IRDA's initiatives on Financial Education.
- Write notes on Voluntary open offer.
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.