CS Executive Capital Markets & Securities Laws PYQ December 2020: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
December 2020
30 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Capital Markets & Securities Laws PYQS (December 2020). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- A nationalized bank wishes to buy 91-days Treasury Bill on 11th October, 2018 which is maturing on 10th December, 2018. The rate quoted by seller is ₹ 98.543 per ₹ 100 face value.
- Which are the important legislations governing the Capital Markets in India? Explain any four of them.
- "The rating methodology for financial services companies is based on CAMELS model". Elucidate.
- Explain the following: Market Abuse
- Explain the following: Tracking Stocks
- Explain the following: Clip and Strip Bond
- Explain the following: Fund of Funds Scheme and its classification
- Explain the following: Classification of scrip traded on BSE.
- "Angel fund shall only raise funds by way of issue of units to angel investor". Comment and mention the investment by an Angel fund.
- Who are the investors in Debt market? Explain briefly any five.
- "No Credit Rating Agency shall rate a security issued by its own promoters". Do you agree?
- What are the investment conditions for all categories of Alternative Investment Funds?
- IPO Grading, which has been made optional now, is different from an Investment Recommendation. Comment.
- "The Trustees of a mutual fund are the custodians of the assets". Briefly state the specific due diligence exercise to be carried out by the Trustees.
- "A foreign portfolio investor shall invest only in certain securities". List out such securities.
- What do you mean by Indian Depository Receipt? State the eligibility criterion and conditions for issue of Indian Depository Receipt under SEBI regulations.
- Comment on the following: Once delisted, a company can not be listed again
- Comment on the following: Corporate Governance is looked upon as a distinctive brand and benchmark in the profile of Corporate Excellence
- Comment on the following: SEBI powers to amend the bye-laws of a recognized stock exchange is unlimited
- Comment on the following: Private placement
- Comment on the following: Ready Delivery Contracts mean immediate delivery.
- "Research Analysts analyze the published data of companies and industries and make forecast or recommendations about whether to buy, hold or sell securities". Elucidate the same in
- What is Escrow account under SEBI Takeover Regulations? How the amount can be released from this account?
- Who can make a request for Informal Guidance under SEBI Scheme? Can this request be given confidential treatment under the Scheme?
- What is the mandatory open offer and its effect on incremental voting rights in case of fresh issue?
- Write notes on the following: Obligations of intermediaries under Prevention of Money Laundering Act, 2002.
- Write notes on the following: Obligations of the Acquirer under SEBI Takeover Code.
- Write notes on the following: Code of Conduct under Insider Trading Regulations.
- Write notes on the following: SARAL (Depository)
- Write notes on the following: Wind-down Plan.
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.