CS Executive Capital Markets & Securities Laws PYQ June 2016: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
June 2016
31 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Capital Markets & Securities Laws PYQS (June 2016). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Massive Ltd. came out with its IPO in November, 2015 and offered shares of ₹10 each at ₹450 charging a premium of ₹440. Shyam applied for 1,000 shares which had been allotted. On t
- Prime Ltd. issued some warrants which allowed the holders to purchase, with one warrant, one equity share at ₹18.275 per share. The equity share was quoted at ₹25 per share and the
- Manish owns 250 preference shares of Amaze Ltd. which currently sells for ₹77 per share and pays annual dividend of ₹13 per share. (i) What is Manish's expected return? (ii) If Man
- A company is planning to issue deep discount bonds. As a financial advisor, you are required to suggest two important terms and conditions of issuing the said bond so as to minimis
- "Collective investment scheme (CIS) is a popular form of investment and it is accessible to all." In the light of this statement, explain the meaning and conditions for eligibility
- "Credit rating not only plays a significant role in investor protection but also benefits industry as a whole." Discuss.
- "Basket trading system provides investors the facility of creating sensex linked portfolio and to create a linkage of market prices of the underlying securities." Elaborate the sta
- "A well functioning securities market is conducive to sustained economic growth." Explain.
- "Merchant bankers are the key intermediary between the company and issue of capital." Comment.
- "Offering circular is a mirror through which the prospective investors can access vital information of the company in order to form their investment strategies." Explain the statem
- Comment on the following and support your answer with necessary reasons: The capital market and the stock exchange in particular are referred to as the barometer of the economy.
- Comment on the following and support your answer with necessary reasons: Investment in Indian depository receipts (IDRs) is an opportunity for the Indian investors to invest funds
- Comment on the following and support your answer with necessary reasons: The market makers infuse liquidity in securities that are not frequently traded on stock exchanges.
- Explain briefly the demutualisation of stock exchanges.
- Distinguish between the following: 'Initial margin' and 'maintenance margin'.
- Distinguish between the following: 'Pass through certificate' and 'participation certificate'.
- Distinguish between the following: 'Cash reserve ratio' and 'statutory liquidity ratio'.
- Briefly explain the advertisement code prescribed for mutual funds under the SEBI (Mutual Funds) Regulations, 1996.
- Discuss the functions and obligations of the 'know your client registration agency' in terms of the SEBI [KYC (Know Your Client) Registration Agency] Regulations, 2011.
- What do you mean by Securities Appellate Tribunal (SAT)? What is its composition? As a Company Secretary, advise the aggrieved party about the appeal procedure and powers of SAT.
- What is 'price sensitive information'? Which information is deemed to be price sensitive information? State with reasons whether the following information is price sensitive: (i) T
- Comment on the following: 'Custodian of securities' means any person who carries on or proposes to carry on the business of providing custodial services.
- Comment on the following: The recognised stock exchange has powers to make rules for restricting voting rights.
- Comment on the following: All securities in depositories shall be in fungible form.
- Write notes on the following: Multiple listing.
- Write notes on the following: Differential pricing of securities.
- 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: Depository participant provides link between the company and investors.
- Comment on the following: 'Insider' means any person who is or was connected with the company or is deemed to have been connected with the company.
- Write notes on the following: Employee stock options.
- Write notes on the following: Whistle-blower policy.
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.