CS Executive Capital Markets & Securities Laws PYQ June 2021: Question Paper and Available Answers
CS Executive
Capital Markets & Securities Laws
PYQS Series
June 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 (June 2021). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- "Every scheme of collective investment does not come under the purview of SEBI Act, 1992". List the scheme or arrangement not covered under Collective Investment Scheme.
- Novodit earns 10% on his investments in equity shares. He is considering a recently floated scheme of a Mutual Fund where the initial expenses are 6% and annual recurring expenses
- Uriverse Airlines Ltd. a listed company is operating domestic and international flights from India. Recently a news is flashing that virus might be effecting the entire world and g
- Explain Debt for Equity Swap.
- Explain Flexi Cap Fund.
- Explain IPO Grading.
- Explain Bills rediscounting.
- Explain Categories of Foreign Portfolio Investors.
- As a Company Secretary, You are advised by the Managing Director to put up a note on Market Making.
- Briefly explain the parameters generally considered for rating of manufacturing companies.
- Is it mandatory to issue delivery instructions for securities to meet delivery obligations in demat mode in various scrips in a settlement/auction? Critically examine.
- "An Alternative Investment Fund which has been granted registration under a particular category cannot change its category subsequent to the registration." Elucidate the statement.
- What are the conditions under which a Company can make public issue of Non-convertible Redeemable preference shares?
- Explain the enhancement of overseas investment limits permitted for Mutual Funds vide SEBI's circular dated November 05, 2020.
- Recently RBI has allowed startup to raise External Commercial Borrowings (ECB) in view of growing need of funds for startup. Explain the main features regarding ECB facilities for
- Sunshine Builders Ltd. is a registered sponsor under SEBI (Infrastructure Investment Trusts) Regulations, 2014. The Company is planning for Public offer to meet the growing infrast
- Distinguish between Fixed Price Process and Book Building Process.
- "Depository is not permitted to carry out such activities which are not incidental to its activity as a depository." Comment.
- To strengthen the regulatory framework relating to Securities Market Intermediaries, SEBI has notified amendments regarding Eligibility criteria, implementation services and fees c
- "Apart from imposing penalty for violation of insider trading regulation, SEBI is empowered to issue some directions". Comment.
- "An issuer can offer specified securities at different prices". Comment.
- An unlisted Company is planning for an IPO of equity shares. Your Managing Director asked your advice on the SEBI regulation governing fixation of face value of the share.
- "The key managerial personnel or promoters may have a chance of getting Unpublished Price Sensitive Information (UPSI) perpetually." Is there any mechanism for trading in securitie
- The Adjudicating Officer appointed by SEBI to conduct an inquiry may impose penalty as he thinks fit without considering the impact of default. Examine the statement with reference
- Explain briefly the scope of settlement proceedings under SEBI (Settlement of Administrative and Civil Proceedings) Regulations, 2014.
- Write short notes on Qualified Institutional Buyer.
- Write short notes on Banker to an Issue.
- Write short notes on Person is deemed to be a connected person.
- Write short notes on Powers of Securities Appellate Tribunal.
- Write short notes on Investor Protection Fund of Depositories.
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.