CS Executive Capital Markets & Securities Laws PYQ December 2021: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
December 2021
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 2021). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- XB Bank Ltd. formed a SPV and issued ₹1,00,000 secured debt instruments redeemable after 10 years. However, the SPV failed to redeem some secured debt instruments. 2 investors hold
- Consider the following data of Sunshine India Mutual Fund: Value of investments: ₹2,757 crores Receivables: ₹221 crores Other current assets: ₹643 crores Liabilities: ₹390 crores A
- "Ownership of a concern is also an important part of credit watch." Explain the term "credit watch" and relation of ownership with credit watch.
- Explain the following: Mezzanine Financing.
- Explain the following: Participants in Electronic Book Mechanism.
- Explain the following: Placement Memorandum for Angel Fund.
- Explain the following: Level Pay Floating Rate Notes.
- Explain the following: Jobber.
- Define Treasury Bills. Find out the maturity period, auction day and notified amount in the following type of Treasury Bills: (a) 91 days T Bill (b) 182 days T Bill (c) 364 days T
- Sigma Ltd. is an unlisted company and is having 2,00,000 equity shares. The company does not have any past experience of any kind of initial public offer. However, the management w
- What is Depository System? What are the features of Depository System in India?
- Roshni Ltd. is presently an unlisted company and is proposed to be listed on BSE. The management is of the view to allot 50,000 equity shares on qualified institutional placement b
- X has surplus cash of ₹100 crores to be deployed in a project. However, it does not require the funds at a time, but need at different intervals stated below: Funds available as on
- "Auto delivery facility is not applicable to all kinds of transactions." Discuss the statement with a view of applicability as well as non-applicability.
- "SEBI shall not consider an application for the grant of approval as designated depository participant unless the applicant satisfies certain conditions." List out such conditions.
- In what cases InvIT shall refund money? What are the various provisions relating to issue of units and allotment in case InvIT raises funds by way of public issue?
- Critically examine the following: The Securities Contracts (Regulation) Act, 1956 (SCRA) provides powers to recognised stock exchanges to make rules restricting voting rights etc.
- Critically examine the following: Negative net worth is not the sole criteria to delist the securities by a recognised stock exchange.
- Critically examine the following: Detailed information in Annual Report by stock exchanges may be submitted for activities during calendar year.
- Critically examine the following: A Company may request some recognised stock exchange to delist any security, but certain conditions have to be complied in case no exit opportunit
- Critically examine the following: There is no mandatory provision for disclosure by issuer to its shareholder in case of preferential issue.
- Prisma Ltd. is a listed company on NSE. The Board of directors is planning to float a subsidiary company. The management requests you to prepare a detailed representation regarding
- Pax Ltd. is presently an unlisted company and is planning to get listed on BSE only. Presently Board of directors consist 8 directors. The management requested you to advise on the
- Fox Star Ltd., a listed entity on Delhi Stock exchange, proposed to delist themselves from stock exchange. A board meeting is scheduled to be held on 28th March, 2020 for approval
- Can an NBFC function as a Merchant Banker? Under what circumstances a merchant banker shall be deemed to be an associate of the issuer?
- Write notes on the following: Compensation of Research Analysts.
- Write notes on the following: Principles and procedures of Fair Disclosure.
- Write notes on the following: Grievance redressal mechanism of stock exchange.
- Write notes on the following: Persons exempted from registration as investment advisor.
- Write notes on the following: Eligible issuers on the Institutional Trading Platform.
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.