CS Executive Securities Laws and Capital Markets PYQ December 2023: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
December 2023
51 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 2023). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Edelweiss Mutual Fund's portfolio related information are as below: Stock No. of Shares Price in (₹) Reliance 1,10,000 1,548.24 Tata 2,57,000 548.65 Suzlon 5,05,000 329.51 Wipro 4,
- Tata Aviation Ltd., having nation-wide terminals, is in the process of delisting its equity shares from recognized stock exchange. As per the provision of the delisting regulation,
- PQR Ltd. listed its shares in NSE. Its promoters hold 56.5% of paid-up equity share capital as on 31st March, 2022. On 10th October, 2022, some of the promoters who were having con
- PQR Ltd. listed its shares in NSE. Its promoters hold 56.5% of paid-up equity share capital as on 31st March, 2022. On 10th October, 2022, some of the promoters who were having con
- PQR Ltd. listed its shares in NSE. Its promoters hold 56.5% of paid-up equity share capital as on 31st March, 2022. On 10th October, 2022, some of the promoters who were having con
- What is concurrent audit ? Explain its scope with respect to issuance of DIS and verification of DIS.
- Comment on the following in light of SEBI (Collective Investment Schemes) Regulations, 1999: (i) Can a collective investment scheme provide guaranteed returns ?
- Comment on the following in light of SEBI (Collective Investment Schemes) Regulations, 1999: (ii) What is the offer period for the CIS ?
- Comment on the following in light of SEBI (Collective Investment Schemes) Regulations, 1999: (iii) State the period for issue of Unit Certificates by a Collective Investment Manage
- Comment on the following in light of SEBI (Collective Investment Schemes) Regulations, 1999: (iv) What is the penal interest payable by the person registered under a Collective Inv
- Bombay Stock Exchange wants to establish an additional trading floor. Explain briefly the meaning and procedure for establishing an additional trading floor.
- Hon'ble Justice Z, a retired Chief Justice of a High Court, attained the age of 64 years on 31st December, 2022. The Central Government had appointed him as the Presiding Officer o
- Hon'ble Justice Z, a retired Chief Justice of a High Court, attained the age of 64 years on 31st December, 2022. The Central Government had appointed him as the Presiding Officer o
- Samrudhi Enterprises Ltd. established a Trust. The Trust holds some shares of the company obtained by it for the purpose of implementation of Share Based Employee Benefit Scheme in
- Samrudhi Enterprises Ltd. established a Trust. The Trust holds some shares of the company obtained by it for the purpose of implementation of Share Based Employee Benefit Scheme in
- Comment on the following: (i) Can a Debenture Trustee act for issue of debentures of an associate ?
- Comment on the following: (ii) Is appointment of Debenture Trustee compulsory ?
- Comment on the following: (iii) Can a debenture issue be transferred? If so, when can a debenture trustee relinquish his assignments ?
- Comment on the following: (iv) Is there any registration fee to be paid by the Debenture Trustee ?
- State with reasons whether the companies are allowed to make public issue under SEBI (ICDR) Regulations, 2018. (a) Jain, a promoter of XY Ltd. is categorized as a willful defaulter
- State with reasons whether the companies are allowed to make public issue under SEBI (ICDR) Regulations, 2018. (b) Sinha is one of the Board of Directors of VG Garments Ltd., again
- RRR Ltd. is a listed company. It has not satisfied the requirements of listing agreement with the Recognized Stock Exchange. The Stock Exchange decided for compulsory delisting of
- RRR Ltd. is a listed company. It has not satisfied the requirements of listing agreement with the Recognized Stock Exchange. The Stock Exchange decided for compulsory delisting of
- RRR Ltd. is a listed company. It has not satisfied the requirements of listing agreement with the Recognized Stock Exchange. The Stock Exchange decided for compulsory delisting of
- RRR Ltd. is a listed company. It has not satisfied the requirements of listing agreement with the Recognized Stock Exchange. The Stock Exchange decided for compulsory delisting of
- State with reasons whether the following persons can be appointed as 'Trustee' of Joe Pharma Ltd., a listed company, which has proposed to implement Share Based Employee Benefit Sc
- State with reasons whether the following persons can be appointed as 'Trustee' of Joe Pharma Ltd., a listed company, which has proposed to implement Share Based Employee Benefit Sc
- Explain the term Confidentiality of request under the SEBI (Informal Guidance) Scheme, 2003.
- Elucidate the obligations of the Company under the SEBI (Issue of Sweat Equity) Regulations, 2002.
- Morgan Care Limited ("MCL") is a public limited company, which has its equity shares listed on both BSE Limited and National Stock Exchange of India Limited. Carlton Price Private
- Morgan Care Limited ("MCL") is a public limited company, which has its equity shares listed on both BSE Limited and National Stock Exchange of India Limited. Carlton Price Private
- Morgan Care Limited ("MCL") is a public limited company, which has its equity shares listed on both BSE Limited and National Stock Exchange of India Limited. Carlton Price Private
- Morgan Care Limited ("MCL") is a public limited company, which has its equity shares listed on both BSE Limited and National Stock Exchange of India Limited. Carlton Price Private
- Morgan Care Limited ("MCL") is a public limited company, which has its equity shares listed on both BSE Limited and National Stock Exchange of India Limited. Carlton Price Private
- What is Enterprise Value ? Compute the Enterprise value from the following information of XYZ Ltd., if the current market price per share is ₹93 : Liabilities (₹ in lakh) Assets (₹
- Mukharjee holds certain securities on 31st March, 2022, issued in his favour under the "Collective Investment Scheme (CIS)", for consideration, Mukharjee transferred the said secur
- Mukharjee holds certain securities on 31st March, 2022, issued in his favour under the "Collective Investment Scheme (CIS)", for consideration, Mukharjee transferred the said secur
- Discuss the compliance requirement under the SEBI (LODR) Regulations, 2015 pertaining to Risk Management Committee. Examine the validity of the agenda, 'RNG Ltd. intends to pass or
- The following information is available from the audited balance sheet of SZ Ltd. (₹ in lakh) Equity Share capital (3,000 lakh share of ₹10 each) 30,000 Share Premium A/c 3,000 Gene
- QIBs are an investment institution who buy the shares of a company on a large scale. Qualified Institutional Buyers are those Institutional investors who are generally perceived to
- The option contracts are given below; you are required to compute profit or loss to each investor : (i) Ravi writes a call option to buy share at an exercise price of ₹70 for a pre
- The option contracts are given below; you are required to compute profit or loss to each investor : (ii) Narain buys a put option at an exercise price of ₹78 for a premium of ₹7 pe
- All the registered merchant bankers are hereby advised to disclose on their website. Elucidate the investor charter to be published or disclosed by the merchant banker.
- Write short notes on the following: (a) Custodial services
- Write short notes on the following: (b) Co-investment Portfolio Manager
- Write short notes on the following: (c) Qualified stock broker
- Write short notes on the following: (d) Nifty
- Write short notes on the following: (e) Block Mechanism in Demat Account
- Aggarwal purchases 10,000 shares of AB Ltd. at ₹20. He obtains a complete hedge of shorting 400 Nifty at ₹1,200 each. He closes out his position at the closing price of the next da
- Explain the effect of refusal to grant certificate to an intermediary.
- Can an AIF change its category pursuant to registration? Is the sponsor/management mandated to have an interest in AIF ?
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.