CS Executive Securities Laws and Capital Markets PYQ December 2018: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
December 2018
40 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Securities Laws and Capital Markets PYQS (December 2018). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- A mutual fund has a NAV of ₹11.50 at the beginning of the year. At the end of the year NAV increases to ₹12.10. Meanwhile the fund distributes ₹0.80 as dividend and ₹0.70 as capita
- A mutual fund has a NAV of ₹11.50 at the beginning of the year. At the end of the year NAV increases to ₹12.10. Meanwhile the fund distributes ₹0.80 as dividend and ₹0.70 as capita
- "Expense Ratio for a mutual fund should be as low as possible." Explain how increase or decrease in Total Expense Ratio (TER) shall be disclosed by Asset Management Company under S
- Explain the Stock Appreciation Rights Scheme (SARS).
- Answer the following with reference to the Companies (Share Capital and Debentures) Rules, 2014, as to whether these are the eligible employees under Employee Stock Option ? (Yes/N
- Answer the following with reference to the Companies (Share Capital and Debentures) Rules, 2014, as to whether these are the eligible employees under Employee Stock Option ? (Yes/N
- Answer the following with reference to the Companies (Share Capital and Debentures) Rules, 2014, as to whether these are the eligible employees under Employee Stock Option ? (Yes/N
- Answer the following with reference to the Companies (Share Capital and Debentures) Rules, 2014, as to whether these are the eligible employees under Employee Stock Option ? (Yes/N
- Answer the following with reference to the Companies (Share Capital and Debentures) Rules, 2014, as to whether these are the eligible employees under Employee Stock Option ? (Yes/N
- What are the provisions for continuous listing requirement under Securities Contracts (Regulation) Rules, 1957? List any six methods for achieving minimum public shareholding by a
- Girdhar (Retail Individual Investor) had applied for Initial Public Offer of Six Sigma Ltd. through Applications Supported By Block Amount (ASBA) process. The Self Certified Syndic
- Girdhar (Retail Individual Investor) had applied for Initial Public Offer of Six Sigma Ltd. through Applications Supported By Block Amount (ASBA) process. The Self Certified Syndic
- For ensuring independence in the spirit of Independent Directors and their active participation in functioning of the company, SEBI has accepted many recommendations of Committee s
- Bombay Stock Exchange Ltd. had suspended trading in shares of XYZ Ltd. for violating conditions of listing agreement. The company has now complied with the listing regulations requ
- Explain the following: Dematerialization
- Explain the following: Fungibility.
- Hon'ble Justice A, a retired Chief Justice of a High Court, attained the age 62 years on December 31, 2017. The Central Government had appointed him as the Presiding Officer of the
- The equity share of Ashina Buildcon Ltd., was listed on National Stock Exchange Ltd. (NSE). NSE delisted its shares by complying SEBI guidelines on delisting. The order of delistin
- Define "Dissenting shareholders". What are the conditions for applicability of Exit offers by dissenting shareholders according to SEBI (Issue of Capital and Disclosure Requirement
- You are the Company Secretary of Sunglow Ltd., which being listed on the Stock Exchange after an IPO is made by the company. The Managing Director desires to know about quarterly c
- What is Trading Plan under SEBI (Prohibition of Insider Trading) Regulations, 2015? State the requirements to be complied with in this regard.
- Technopoly Ltd., an unlisted public company, having a paid up equity share capital of ₹3.00 crore consisting of 30,00,000 equity shares of ₹10 each fully paid up, proposes to reduc
- MCS Ltd. is a listed company with Bombay Stock Exchange Ltd. The Company enters into related party transactions frequently with MAP Ltd. in which one of director of MCS Ltd. holds
- Startups companies have now come up with an Initial Public offer with relaxation of many conditions applicable for Initial Public Offer. In this context, briefly, explain about the
- Prateek applied in the IPO of Maxgrow Ltd. for 100 Equity Shares. He was not eligible to get any shares according to the allotment schedule and also has not received the refund amo
- Prateek applied in the IPO of Maxgrow Ltd. for 100 Equity Shares. He was not eligible to get any shares according to the allotment schedule and also has not received the refund amo
- Prateek applied in the IPO of Maxgrow Ltd. for 100 Equity Shares. He was not eligible to get any shares according to the allotment schedule and also has not received the refund amo
- You are working as the Company Secretary of a listed company viz. Mindspare Ltd. The company is in advance stage of negotiation with a buyer, who will drastically improve the profi
- Naman had executed following trades on Gama Ltd. stock: Purchased one 3-month call option with a premium of ₹25 at an exercise price of ₹530. Purchased one 3-month put option with
- Naman had executed following trades on Gama Ltd. stock: Purchased one 3-month call option with a premium of ₹25 at an exercise price of ₹530. Purchased one 3-month put option with
- What is meant by Anchor Investor? What are the limitations of allocation to anchor investors in the Book building process ?
- A listed company, Nishan Hitech Ltd. issued 10 lakh equity shares at a price of ₹150 per share. The company provided Green shoe option for stabilizing the post listing price of the
- Write short notes on the following: Private Equity
- Write short notes on the following: Book Closure and Record Date
- Write short notes on the following: Bankers to an issue
- Write short notes on the following: Venture capital
- Write short notes on the following: Pension Fund.
- What is meant by Block deal? How is it being executed in the Stock Exchange ?
- Credit Rating Agencies may not be taking cognizance of information for delays in servicing debt obligations while reviewing of its ratings. What are the material events requiring a
- Explain the provisions for compulsory internal audit of Registrars to an Issue/Share Transfer Agents (RTAs).
How to Prepare for CS Executive Securities Laws and Capital Markets
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.