CS Executive Securities Laws and Capital Markets PYQ June 2019: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
June 2019
40 Questions Indexed
ICSI Examination Archive & Suggested Answers: This directory contains indexed questions from the paper for CS Executive Securities Laws and Capital Markets PYQS (June 2019). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- A Mutual Fund having 300 units has shown Net Asset Value (NAV) of ₹ 8.75 and ₹ 9.45 at the beginning and at the end of the year respectively. The Mutual Fund has given two options:
- 'A stock exchange on its own can delist any security thereon'. Explain how Recognized Stock Exchange delists any securities listed thereon under Securities Contracts (Regulations)
- Your Board of directors is contemplating to take-up the agenda to issue ESOS in next meeting. Being a Company Secretary, advise your Board of directors about brief procedure for is
- Can a Company buy-back its own shares or any specified securities through negotiated deals or through any private arrangements ? Comment with methods allowed for buy-back.
- A listed company can apply to stock exchange for re-classification of the Promoter's holdings as public shareholders under SEBI regulations. Whether following promoters can apply f
- A listed company can apply to stock exchange for re-classification of the Promoter's holdings as public shareholders under SEBI regulations. Whether following promoters can apply f
- A listed company can apply to stock exchange for re-classification of the Promoter's holdings as public shareholders under SEBI regulations. Whether following promoters can apply f
- A listed company can apply to stock exchange for re-classification of the Promoter's holdings as public shareholders under SEBI regulations. Whether following promoters can apply f
- Explain the Modes of Payment to the shareholders of the Target Company on acquisition of shares by the acquirer under SEBI (Substantial Acquisition of Shares and Takeovers) Regulat
- An acquirer, holding 25% or more but less than maximum permissible non-public shareholding of the Target Company can acquire such additional shares as would entitle him to exercise
- SEBI has been given necessary autonomy and authority to regulate and develop an orderly market. Elucidate the statement in the light of statutory powers vested with SEBI.
- Life-Changing Assets Management Ltd., a mutual funds company desires to engage a bollywood celebrity to popularize its schemes. Explain the SEBI provisions with regard to celebrity
- M/s Highspeed Ltd. manufacturing a car components for leading car manufacturer. Its public issue of ₹500 crore was fully subscribed. The public issue money ought to be utilized for
- From the following information, calculate the Enterprise Value of E Ltd. : Balance Sheet of E Ltd. as on 31st March, 2018 Liabilities Amount (₹ Lakh) Assets Amount (₹ Lakh) Share C
- The Board of directors of a listed company desires to delist its equity shares from all the recognised stock exchanges. The voting details through postal ballot are as under: Total
- The financial data of a listed company as on 31st March, 2018 are as follows: Authorized equity share capital: ₹ 10 crore (1 crore shares of ₹ 10 each) Paid-up equity share capital
- Z Ltd. has issued Sweat Equity Shares for a non-cash consideration. What are the possible accounting treatments in the books of Z Ltd. ?
- A listed NBFC has been granted licence to run as small finance bank by the Reserve Bank of India under recently announced policy to improve the financial inclusion of the country.
- An unlisted public company ("Acquirer") doing business of exporting steel and it is a part of the Promoter Group of Maurya Hotels (India) Ltd. (MHIL), a company listed on stock exc
- An unlisted public company ("Acquirer") doing business of exporting steel and it is a part of the Promoter Group of Maurya Hotels (India) Ltd. (MHIL), a company listed on stock exc
- Explain what is Informal Guidance under SEBI (Informal Guidance) Scheme, 2013 and who can seek guidance from SEBI ?
- The price of equity share of a listed company viz. NextDial Ltd. (NDL) increased from ₹10 to high of ₹50 i.e. a rise of 500% during the period 1st April, 2018 to 30th Sept., 2018.
- The price of equity share of a listed company viz. NextDial Ltd. (NDL) increased from ₹10 to high of ₹50 i.e. a rise of 500% during the period 1st April, 2018 to 30th Sept., 2018.
- The price of equity share of a listed company viz. NextDial Ltd. (NDL) increased from ₹10 to high of ₹50 i.e. a rise of 500% during the period 1st April, 2018 to 30th Sept., 2018.
- The price of equity share of a listed company viz. NextDial Ltd. (NDL) increased from ₹10 to high of ₹50 i.e. a rise of 500% during the period 1st April, 2018 to 30th Sept., 2018.
- The financial data of Natural Energy Limited as on 31st March, 2018 are as under: (i) Authorised Share Capital: ₹ 700 crore (ii) Paid-up Capital: ₹ 300 crore (iii) Free Reserves: ₹
- What are the Option contracts? You are required to compute the profit/loss for each investors in below option contracts: (i) Mr. X writes a call option to purchase share at an exer
- What are the Option contracts? You are required to compute the profit/loss for each investors in below option contracts: (ii) Mr. Y buys a put option at an exercise price of ₹80 fo
- What are the Option contracts? You are required to compute the profit/loss for each investors in below option contracts: (iii) Mr. Z writes a put option at an exercise price of ₹80
- What are the Option contracts? You are required to compute the profit/loss for each investors in below option contracts: (iv) Mr. XY writes a put option with an exercise price of ₹
- What do you mean by 'Research Analysts'? Elucidate the net worth requirements, and role and responsibilities of Research Analyst as per SEBI (Research Analyst) Regulations, 2014.
- "Prior information of open position of any share during market hours can easily fluctuate the price of the share". How Preventive Surveillance helps to reduce the fraudulent price
- Write short notes on the following: (a) Custodian of Securities
- Write short notes on the following: (b) Key difference between WPI & CPI
- Write short notes on the following: (c) Basis of SENSEX
- Write short notes on the following: (d) High Net Worth Individuals
- Write short notes on the following: (e) Bulk Deal.
- "An Alternative Investment Fund which has been granted registration under a particular category cannot change its category subsequent to registration, except with the approval of t
- Dhruv has purchased 1000 shares @ ₹ 80 per share of a company. He wanted to pay ₹ 5,000 in cash and balance through bank transfer to stock broker. As a Company Secretary advise Dhr
- "SEBI has amended the provisions related to registration of Sub-Broker to act as a market intermediary". Elucidate the statement and discuss the migration path for existing registe
How to Prepare for CS Executive Securities Laws and Capital Markets
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