CS Executive Securities Laws and Capital Markets PYQ December 2022: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
December 2022
47 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 2022). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Fortune Mutual Fund launched a special scheme, the details of which are given below: NAV ₹ 14 per unit, Redemption price ₹ 13.50 per unit, Offer Price ₹ 14.75 per unit. You are req
- Pritam Ltd. is in the list of top 100 listed companies; of which financial year closes on 31st March, 2022. The company had its Annual General Meeting on September 10, 2022 and pro
- Pritam Ltd. is in the list of top 100 listed companies; of which financial year closes on 31st March, 2022. The company had its Annual General Meeting on September 10, 2022 and pro
- Pritam Ltd. is in the list of top 100 listed companies; of which financial year closes on 31st March, 2022. The company had its Annual General Meeting on September 10, 2022 and pro
- Pritam Ltd. is in the list of top 100 listed companies; of which financial year closes on 31st March, 2022. The company had its Annual General Meeting on September 10, 2022 and pro
- Dr. Grace, aged 78 years, was appointed as non-executive director of PQR Ltd (listed company) by passing an ordinary resolution. Examine the validity of appointment of Dr. Grace as
- The Board of directors of Vijay Ltd., a listed entity proposes to issue sweat equity shares to Ganesh, an employee belonging to the promoter's group. Ganesh also participated in th
- The Board of directors of Vijay Ltd., a listed entity proposes to issue sweat equity shares to Ganesh, an employee belonging to the promoter's group. Ganesh also participated in th
- The Board of directors of Vijay Ltd., a listed entity proposes to issue sweat equity shares to Ganesh, an employee belonging to the promoter's group. Ganesh also participated in th
- What are the amended allocation criterion in the non-institutional investors category, if an issue is made through book-building process?
- Is there any mechanism for monitoring of use of proceeds raised through public issue? Explain briefly.
- ABC Ltd. is a SEBI registered Collective Investment Management company. It has launched a Collective Investment scheme viz. 'Har Ghar Sapna' and collected money for acquiring land
- 'Complaints against certain companies cannot be dealt through SCORES, despite the complaint may be against a listed entity'. Explain briefly.
- Nikunj, an IT professional from reputed engineering college, was appointed as an Independent director of a listed company. Due to some health issues, he resigned from the company e
- A listed company has appointed Mihir as a director on the Board. The general meeting of the company has already been held prior to his appointment. What approval is required to reg
- ABC Ltd. is a public company listed on stock exchange. The company declared a dividend in the Annual General Meeting held on 1st May, 2020. However, the dividend was distributed on
- ABC Ltd. is a public company listed on stock exchange. The company declared a dividend in the Annual General Meeting held on 1st May, 2020. However, the dividend was distributed on
- ABC Ltd. is a public company listed on stock exchange. The company declared a dividend in the Annual General Meeting held on 1st May, 2020. However, the dividend was distributed on
- With reference to the SEBI (Delisting of Equity Shares) Regulations, 2021, state the requirement for appointment of Peer Reviewer Company Secretary to carry out due-diligence.
- Due to rapid surge of Initial Public Offers in the primary market, the participation of retail investors in the market has also increased substantially. To tap this opportunity, XY
- What is competing offer? What is the timeliness in case of competing offer?
- Recently the SEBI has mandated the formation of Audit Committee for Asset Management Company (AMCs) of mutual funds. Briefly explain the Role and Composition of Audit Committee.
- Ankur traded in shares of Sitez Ltd., a listed company. The trading plan was approved by compliance officer on May 19, 2022. Ankur comes to know on July 20, 2022 that this transact
- Ankur traded in shares of Sitez Ltd., a listed company. The trading plan was approved by compliance officer on May 19, 2022. Ankur comes to know on July 20, 2022 that this transact
- 'Mobile applications provide convenience to the investors for lodging their complaints on SEBI Complaints Redress System.' Comment on the statement.
- Joshi Ltd. is a listed entity entered into a transaction with related party, namely Hosh Ltd., for an amount of ₹ 59 crore and simultaneously made a payment of ₹ 10 crore for brand
- Joshi Ltd. is a listed entity entered into a transaction with related party, namely Hosh Ltd., for an amount of ₹ 59 crore and simultaneously made a payment of ₹ 10 crore for brand
- Joshi Ltd. is a listed entity entered into a transaction with related party, namely Hosh Ltd., for an amount of ₹ 59 crore and simultaneously made a payment of ₹ 10 crore for brand
- Joshi Ltd. is a listed entity entered into a transaction with related party, namely Hosh Ltd., for an amount of ₹ 59 crore and simultaneously made a payment of ₹ 10 crore for brand
- Answer with reference to SEBI Regulations: ABC Ltd., a leading software development company is having outstanding paid-up equity share capital of ₹ 20 crore as on 31st March, 2021.
- Answer with reference to SEBI Regulations: Can a company allot sweat equity shares to an employee working outside India, who has been deputed outside India for last three years?
- Answer with reference to SEBI Regulations: Himanshu, a non-executive director, approached the company for allotment of sweat equity shares. Whether he is eligible?
- Answer with reference to SEBI Regulations: Whether the company is free to fix the price of sweat equity shares?
- Tarun purchases the following European Call options of TCS. He also purchases the following European put option of ACC. What decision he would take on expiry if TCS closes at ₹ 835
- Tarun purchases the following European Call options of TCS. He also purchases the following European put option of ACC. What decision he would take on expiry if TCS closes at ₹ 835
- Tarun purchases the following European Call options of TCS. He also purchases the following European put option of ACC. What decision he would take on expiry if TCS closes at ₹ 835
- Tarun purchases the following European Call options of TCS. He also purchases the following European put option of ACC. What decision he would take on expiry if TCS closes at ₹ 835
- Who are Anchor Investors? How is allocation made to Anchor Investors?
- The certificate granted by the SEBI to an intermediary is subject to certain conditions. Elaborate the conditions and state the period of validity of certificate.
- Write short notes on the following: Benefits of REITs
- Write short notes on the following: Steps to calculate SENSEX
- Write short notes on the following: Types of Private Equity
- Write short notes on the following: Atal Pension Yojana
- Write short notes on the following: Accredited Investor and Large Value Accredited Investor.
- Define Alternative Investment Fund (AIF). Name the entities which are not to be considered as AIF.
- Define special situation fund. How investment in special situation fund is made as per SEBI (AIF) Regulations, 2012 as amended?
- Who is a custodian? State the obligations & responsibilities and net worth requirement for custodians.
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.