CS Executive Securities Laws and Capital Markets PYQ December 2024: Question Paper and Available Answers

CS Executive Securities Laws and Capital Markets PYQS Series December 2024 48 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 2024). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.

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Indexed questions

Grow More Fund has a size of ₹ 600 crore with face value of each unit being ₹ 10. The following information has been provided to you in respect of the fund: Market value of investm
If the front-end load is 2%, calculate the Public Offer Price of the unit.
SJR company is a listed company, wants to follow the minimum standard of code of conduct, as prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015. You being the
SJR company is a listed company, wants to follow the minimum standard of code of conduct, as prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015. You being the
SJR company is a listed company, wants to follow the minimum standard of code of conduct, as prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015. You being the
SJR company is a listed company, wants to follow the minimum standard of code of conduct, as prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015. You being the
SJR company is a listed company, wants to follow the minimum standard of code of conduct, as prescribed under SEBI (Prohibition of Insider Trading) Regulations, 2015. You being the
PTS Ltd. is forming part of top 1000 listed entities. Being the company secretary of the company, advise on the following issues: What is the maximum age of non-executive directors
PTS Ltd. is forming part of top 1000 listed entities. Being the company secretary of the company, advise on the following issues: Can the minimum directors of the company be five?
PTS Ltd. is forming part of top 1000 listed entities. Being the company secretary of the company, advise on the following issues: How many times board shall meet and the gap of 14
PTS Ltd. is forming part of top 1000 listed entities. Being the company secretary of the company, advise on the following issues: How many directors constitute the quorum for a boa
PTS Ltd. is forming part of top 1000 listed entities. Being the company secretary of the company, advise on the following issues: Composition of Nomination and Remuneration Committ
Kunal is thinking of acquiring shares in Dream Real Estate Ltd. (listed company). Under the provisions of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011, w
Kunal is thinking of acquiring shares in Dream Real Estate Ltd. (listed company). Under the provisions of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011, w
Kunal is thinking of acquiring shares in Dream Real Estate Ltd. (listed company). Under the provisions of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011, w
State the time limit within which the disclosure should be made under SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011.
The Board of Directors of the company, before considering the proposal of delisting, shall appoint a Peer Reviewing Company Secretary. What information are to be provided to Compan
Divine Dwellings Ltd. is a listed company and it wants to buy-back its equity shares. Under the provisions of SEBI (Buy-Back of Securities) Regulations, 2018, answer (with reasons)
Divine Dwellings Ltd. is a listed company and it wants to buy-back its equity shares. Under the provisions of SEBI (Buy-Back of Securities) Regulations, 2018, answer (with reasons)
One of the leading IT services listed company is planning to consider the buyback of its shares in the ensuing Board meeting. The management does not want to disclose the event to
XYZ Ltd. is manufacturing Namkeen in Bikaner, Rajasthan. To expand its footprint on PAN India basis and to meet out its future capex plan, XYZ Ltd. floated an Initial Public Offer.
Nidhi, one of the promoters, invested in a start-up company, at an early stage. Now, the company is planning to enter into the primary market, by way of issue of shares to public.
With reference to the SEBI regulations, answer (with reasons), whether a company can delist its equity shares from a recognised stock exchange, having nationwide trading terminals,
With reference to the SEBI regulations, answer (with reasons), whether a company can delist its equity shares from a recognised stock exchange, having nationwide trading terminals,
With reference to the SEBI regulations, answer (with reasons), whether a company can delist its equity shares from a recognised stock exchange, having nationwide trading terminals,
With reference to the SEBI regulations, answer (with reasons), whether a company can delist its equity shares from a recognised stock exchange, having nationwide trading terminals,
With reference to SEBI regulations, is it permissible for a company to buy-back of its equity shares in the below situations. It had defaulted in repayment of its term loan four ye
With reference to SEBI regulations, is it permissible for a company to buy-back of its equity shares in the below situations. It intends to buy-back 5% of its total paid-up equity
The depository functions like a bank but there are some differences between the working of a bank and the working of a depository. Explain four of them.
The management of a listed entity is desirous to implement employee stock option scheme. You being company law expert, advise the management about the eligible employees under SEBI
What are the provisions for submitting the utilization report to the Social Stock Exchange by a listed Not for Profit Organization?
In a view of Government of India vision towards simplification of laws, SEBI has eased the norms for issuance of duplicate share certificates by the listed company. Briefly explain
An intermediary registered with SEBI wants to approach SEBI for some guidance under SEBI (Informal Guidance) Scheme, 2003. Explain the procedure which should be followed by an inte
"One of the objectives of the buy-back is to use additional cash flow available with the company". Explain the Statement and elucidate the other objectives and factors which influe
The investment directly made in a particular share may be riskier for general public. To mitigate this risk, to some extent, the investor chooses mutual funds due to its profession
Namish, CFO of the ZenEX Ltd. (a listed company) has submitted a Trading Plan to the Compliance Officer of the company for approval under the provisions of SEBI regulations. What a
The result of assembly election of major State will be announced in next week. Naresh an investor, wants to take the opportunity only with limited risk as outcome of election resul
The result of assembly election of major State will be announced in next week. Naresh an investor, wants to take the opportunity only with limited risk as outcome of election resul
Who can be an accredited investor under the amended SEBI (AIF), Regulations, 2012?
"Green Shoe Option is an option of allocating shares, in excess of the shares offered in the public issue and operating a post-listing price stabilizing mechanism." Explain the Gre
Write short notes on the following: Application Supported by Blocked Amount (ASBA)
Write short notes on the following: Stock Market Index
Write short notes on the following: Regulatory functions of the SEBI
Write short notes on the following: Key risk in investing in Securities Market
Write short notes on the following: Redressal of Investor grievances by an Intermediary.
On 31/08/2023, Ganesh has taken a long position of two lots of Nifty future contract at 24,000 (one lot is 25 units). Initial margin required is 10% of contract value and Maintenan
SEBI has imposed additional enhanced obligations and responsibility on the "Qualified Stock Broker". State the criterion to be considered as a designate qualified stock broker and
Credit Rating Agencies rate the financial instruments, not the company. In this context, briefly explain the term credit rating agency. Explain the roles and responsibilities of cr

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