CS Executive Securities Laws and Capital Markets PYQ December 2020: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
December 2020
39 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 2020). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- The information relating to one Equity Oriented Mutual Fund is given below : As on 2nd January, 2019 As on 3rd January, 2019 Market Value of Fund's Portfolio (₹ in thousand) 19,300
- Hope Ltd. makes an issue worth ₹ 125 crore to the public, out of which ₹ 20 crore was for sale to existing shareholders. Explain the provisions regarding the utilisation of proceed
- The following is an extract of Balance Sheet of Alpha Ltd. : Equity Shares Capital — 50,000 Equity Share of ₹ 10 each. 10% Debenture Capital — 20,000 Debenture of ₹ 10 each. On 21s
- Romeo International Limited, an Indian public limited company, is listed on BSE. On Friday i.e. 14th December, 2018 one of the shareholders of the Company, Ganesh, who was already
- Romeo International Limited, an Indian public limited company, is listed on BSE. On Friday i.e. 14th December, 2018 one of the shareholders of the Company, Ganesh, who was already
- Tango Trading Ltd. is a public company which has its equity shares listed on NSE. The Company wants to implement Employee Stock Option Plan (ESOP) for its employees. ESOP Plan will
- Tango Trading Ltd. is a public company which has its equity shares listed on NSE. The Company wants to implement Employee Stock Option Plan (ESOP) for its employees. ESOP Plan will
- "SEBI may take any of the measures either pending investigation or inquiry or on completion of such investigation." Enumerate such measures in the light of the provisions of the SE
- "Co-ordination of Trustee and Collective Investment Management Company is absolutely necessary for success of a Collective Investment Scheme." Explain in this context, the rights a
- Young Ltd. is a company incorporated under the provisions of the Companies Act, 2013. The Company is listed on National Stock Exchange since 1st January, 2017. The promoters of the
- Young Ltd. is a company incorporated under the provisions of the Companies Act, 2013. The Company is listed on National Stock Exchange since 1st January, 2017. The promoters of the
- Diamond Company Ltd. entered into listing agreement on 21st May, 2018 as per SEBI (LODR) Regulations, 2015 with Bombay Stock Exchange (BSE). The Company is planning to conduct a Bo
- As a Company Secretary in employment of Delux Ltd., a listed company, what will be your role in monitoring trading window under SEBI (Prohibition of Insider Trading) Regulations, 2
- Govind Ltd. proposes to issue 20 lakh share warrants to its promotors. The share warrant gives an option to buy shares at a predetermined price. The price trend of the Company's sh
- Govind Ltd. proposes to issue 20 lakh share warrants to its promotors. The share warrant gives an option to buy shares at a predetermined price. The price trend of the Company's sh
- "Increase in voting rights in a target company by any shareholder pursuant to buy-back is exempted from the obligation to make an open offer subject to certain conditions". In the
- "The holding of securities in dematerialise form is not mandatory". Explain the relevant provisions with reference to the Depositories Act.
- SEBI has imposed a penalty of ₹ 25 crore on Sunset Company Ltd. However, due to problem of liquidity, the company is unable to pay the amount of penalty. Explain, how the amount ca
- GK Ltd. is a listed company having paid up equity share of ₹ 8 crore, preference share capital of ₹ 5 crore and net worth of ₹ 15 crore as on 31st March, 2019. The management inten
- RP Ltd. is planning to issue an IPO in 2019 for which a draft offer document is proposed to be filed in September, 2019. The following data is available regarding the company: 2015
- RP Ltd. is planning to issue an IPO in 2019 for which a draft offer document is proposed to be filed in September, 2019. The following data is available regarding the company: 2015
- RP Ltd. is planning to issue an IPO in 2019 for which a draft offer document is proposed to be filed in September, 2019. The following data is available regarding the company: 2015
- Nova Industries Ltd. ('Nova') is an Indian company engaged in the business of manufacturing of Automotive Equipments. The equity shares of the 'Nova' are listed on NSE. Star Invest
- Nova Industries Ltd. ('Nova') is an Indian company engaged in the business of manufacturing of Automotive Equipments. The equity shares of the 'Nova' are listed on NSE. Star Invest
- An Ombudsman has issued an award in a complaint proceeding to your Company. Aggrieved by the award of Ombudsman, directors of your company have decided to file petition before the
- Mr. X, Mr. Y and Mr. Z are the promoters of KP Ltd. They submitted the documents for delisting of shares from BSE. The company received the delisting order on 31st July, 2019. The
- The Nifty Index was trading at 11025 on 1st February, 2019 on NSE. The put option of 10800 with expiry date of 28th February, 2019 was available at ₹ 50 per lot and the call option
- "Debenture Trustee should exercise due diligence to ensure compliances with the provisions of the Companies Act, listing agreement of stock exchange and the trust deed." In the lig
- Raman Ltd. issued 50 Lakh equity shares at a price of ₹ 200 per share. The company provided Green Shoe Option for stabilizing the post listing price of the shares. The issue was ov
- Raman Ltd. issued 50 Lakh equity shares at a price of ₹ 200 per share. The company provided Green Shoe Option for stabilizing the post listing price of the shares. The issue was ov
- Raman Ltd. issued 50 Lakh equity shares at a price of ₹ 200 per share. The company provided Green Shoe Option for stabilizing the post listing price of the shares. The issue was ov
- Write short notes on the following : (a) Bankers to an issue
- Write short notes on the following : (b) Custodians of Securities
- Write short notes on the following : (c) Foreign Currency Convertible Bonds
- Write short notes on the following : (d) Indian Depository Receipts
- Write short notes on the following : (e) Self-Certified Syndicate Bank.
- What do you know about Market Surveillance ? Enumerate different ways of Preventive Surveillance.
- The Registrar to an Issue and Share Transfer Agents constitute an important category of intermediaries in the securities market. List out the 'pre-issue' and 'post-issue' work unde
- The Companies Act, 2013 has authorised equity share capital with differential rights as to dividend, voting or otherwise read with rules under Companies (Share Capital and Debentur
How to Prepare for CS Executive Securities Laws and Capital Markets
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