CS Executive Securities Laws and Capital Markets PYQ December 2021: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
December 2021
42 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 2021). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Rakesh has invested ₹20,000 in PQR Mutual Fund with entry load 1%. Find out the Net Asset Value if the number of units purchased was 100.
- Pritam is holding SALORA Mutual Fund units. He sold all the units at a NAV of ₹120 with exit load of 1%. He received ₹52,000. Find the number of units sold by Pritam.
- X, a shareholder of a listed company holding 1,000 equity shares of ₹100 each on 1st January, 2019 in physical form, wants to transfer to another shareholder Y on 1st May, 2019. X
- X, a shareholder of a listed company holding 1,000 equity shares of ₹100 each on 1st January, 2019 in physical form, wants to transfer to another shareholder Y on 1st May, 2019. X
- ABC Company Ltd. had issued 2000 equity shares of ₹80 each with attachable warrant on 20th June, 2018. The warrant can be exchanged in equity in the proportion of 1:1. S, a shareho
- ABC Company Ltd. had issued 2000 equity shares of ₹80 each with attachable warrant on 20th June, 2018. The warrant can be exchanged in equity in the proportion of 1:1. S, a shareho
- ABC Company Ltd. had issued 2000 equity shares of ₹80 each with attachable warrant on 20th June, 2018. The warrant can be exchanged in equity in the proportion of 1:1. S, a shareho
- Answer the followings with reasons, with reference to SEBI Buyback Regulations, whether these buy-back are as per the provisions of the regulations? The company can directly or ind
- Answer the followings with reasons, with reference to SEBI Buyback Regulations, whether these buy-back are as per the provisions of the regulations? The company has made buy-back o
- Answer the followings with reasons, with reference to SEBI Buyback Regulations, whether these buy-back are as per the provisions of the regulations? The Company Secretary of the co
- Answer the followings with reasons, with reference to SEBI Buyback Regulations, whether these buy-back are as per the provisions of the regulations? The company has prohibited from
- Answer the followings with reasons, with reference to SEBI Buyback Regulations, whether these buy-back are as per the provisions of the regulations? The Board of directors has deni
- Home Technology Ltd. has recently listed on the leading stock exchanges. Advise the company on the compliance of corporate governance regulation for holding of maximum number of di
- M/s. XYZ company Ltd. aggrieved by the decision of Adjudicating Officer under the SEBI Act, 1992 moved to civil court to contest the case. Is the action of the company correct in l
- What do you understand by the word "Ponzi Scheme"? Who regulate the Collective Investment Scheme? List any four key aspects for launching a Collective Investment Scheme.
- "In the proceedings before the Ombudsman under SEBI regulations, strict rules of evidence under the Indian Evidence Act shall apply". Comment on the statement. Enumerate the partic
- Explain the provisions of pricing, vesting period and consequence of failure to exercise Employee Stock Option Scheme (ESOS).
- Pinki Ltd. being a listed company has not complied the requirements of listing agreement with the stock exchange. The stock exchange decided for compulsory delisting of the securit
- Pinki Ltd. being a listed company has not complied the requirements of listing agreement with the stock exchange. The stock exchange decided for compulsory delisting of the securit
- Pinki Ltd. being a listed company has not complied the requirements of listing agreement with the stock exchange. The stock exchange decided for compulsory delisting of the securit
- "SEBI Share Based Employee Benefits Regulations shall apply to any company, whether listed or not on any recognised stock exchanges in India and has a scheme". Comment on the state
- "While evaluating the performance of a mutual fund, one must not be led by the mutual fund return in isolation." In this context, elucidate how performance of mutual fund is evalua
- The stock exchange wants to transfer the duties and functions of a clearing house to a clearing corporation. Is it possible to do so? Explain the purpose if any, it serves.
- The term internal control is generally linked to controls mechanism for financial and non-financial processes of an entity. Is there any internal control process to prevent insider
- X is a Managing Director of ABC Ltd. and awarded title of best CEO of the country. Four leading listed companies invited him to join their Board as an Independent Director for shar
- Sarvbhom Ltd. issued 2000 equity shares of ₹100 each on 1st May, 2019. The amount payable was ₹30 on application and ₹70 on allotment of shares. The company had received applicatio
- Sarvbhom Ltd. issued 2000 equity shares of ₹100 each on 1st May, 2019. The amount payable was ₹30 on application and ₹70 on allotment of shares. The company had received applicatio
- Sarvbhom Ltd. issued 2000 equity shares of ₹100 each on 1st May, 2019. The amount payable was ₹30 on application and ₹70 on allotment of shares. The company had received applicatio
- Ratina Ltd., a listed company has to submit the audit report to the Stock exchange under SEBI (Depositories and Participants) Regulations, 2018. You being a practicing company secr
- Turnkey Ltd. is a listed company, manufacturing auto ancillary components. One of the director of the company is a fugitive offender. The company wants to bring Further Public Offe
- "The accounting treatment of an issue of sweat equity shares is different than the public offer of shares." Elucidate briefly. Is there any requirement of Auditor's certificate aft
- Suppose B. Co. Ltd. issues bonds with following terms: Issue price of Bond ₹2000, Coupon rate 2% with maturity period of 2 years, Convertible into equity shares @ ₹100 per share. Y
- What is the option contract? How the option contract is classified on the basis of party who exercise the option and time at which the option can be exercised?
- What do you mean by Unified Payments Interface (UPI)? Whether use of UPI, as a payment mechanism in public issues is mandatory? What is the limit one can apply for a public issue t
- Write short notes on the following: Leveraged Buyout (LBO)
- Write short notes on the following: Repo & Reverse Repo Rate
- Write short notes on the following: Characteristics of Bond
- Write short notes on the following: Inflation Index
- Write short notes on the following: Internal Audit of Intermediaries.
- What do you mean by discretionary portfolio manager? How portfolio manager plays a pivotal role in deciding the best investment plan for an individual?
- What do you mean by FED policy? Briefly state how change in US fed rate can impact India?
- Venture Capital is one of the innovative financing resources for an enterprise. Explain briefly and indicate the areas of investment of Venture Capital.
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.