CS Executive Securities Laws and Capital Markets PYQ June 2024: Question Paper and Available Answers
CS Executive
Securities Laws and Capital Markets
PYQS Series
June 2024
36 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 2024). Open the source paper and available answers. Older sessions follow the syllabus and statutory provisions applicable to their examination year.
Indexed questions
- Based on the following information, determine the NAV of a regular income scheme on per unit basis: Listed share at cost ₹ 12.00 crore Cash in hand ₹ 1.00 crore Bond and debenture
- Yaksha Motors Ltd. is a listed company. It had a turnover of ₹ 450 crore on standalone basis as per the latest audited financial statements. It also has only one subsidiary/ associ
- Following information is given to you about Jaina Fashions Ltd., a listed company. In light of SEBI (Prohibition of Insider Trading) Regulations, 2015, briefly explain the concept
- Due to outbreak of war between two countries, the stock prices of a listed IT company falls drastically. The management after due deliberations, decided to offer buy-back of its eq
- Mohan has been granted 200 options under ESOP scheme by a listed company. Mohan is in dire need of money; he intends to mortgage the options with the private moneylender to avail l
- An acquirer, along with persons acting in concert (PAC) may come up with an Open Offer for acquisition of shares of a listed entity either voluntarily or compulsorily. Differentiat
- State with reasons, the composition of directors in a listed company: PQR Limited is a listed entity having one Executive woman Director on the Board. The Company is in the list of
- State with reasons, the composition of directors in a listed company: X is non-executive director of RST Limited. A, B and C are promoters of RST Limited. X is a Chairperson of the
- With reference to the SEBI (ICDR), Regulations, 2018, answer in brief (with reasons): If a company did not receive minimum subscription of 90%, state the time period within which t
- With reference to the SEBI (ICDR), Regulations, 2018, answer in brief (with reasons): Is there any mechanism for monitoring of utilization of IPO proceeds, if the issue size exceed
- With reference to the SEBI (ICDR), Regulations, 2018, answer in brief (with reasons): Lock-in of specified securities held by the promoters in case of Initial Public Offer.
- With reference to the SEBI (ICDR), Regulations, 2018, answer in brief (with reasons): Cap on the price band.
- Earlier the process for issue of duplicate share certificate was very cumbersome. Recently, SEBI has simplified the provisions for issue of duplicate share certificate for small in
- An Investigating Authority was appointed by SEBI to investigate into the affairs of a listed entity. An employee of the entity fails to comply with the directions of the Investigat
- With an aim to list startups, which are making intensive use of technology and intellectual property, SEBI had introduced 'Innovators Growth Platform' in the SEBI (ICDR) Regulation
- With an aim to list startups, which are making intensive use of technology and intellectual property, SEBI had introduced 'Innovators Growth Platform' in the SEBI (ICDR) Regulation
- Answer the following questions with reference to SEBI (Buy-back of Securities), Regulations, 2018: Under what circumstances, SEBI may relax strict enforcement of Buy-back Regulatio
- Answer the following questions with reference to SEBI (Buy-back of Securities), Regulations, 2018: Can an unregistered shareholder tender his shares for buy-back?
- Excel Limited is a listed company having all committees constituted in compliance with the listing regulations. Its audit committee having 5 directors, out of which 4 directors are
- SEBI has recently introduced the concept of Social Stock Exchange? Define the Social Stock Exchange and nature of entity eligible for listing on the Social Stock Exchange platform.
- Can a senior person, say a Company Secretary or Chief Financial Officer, who is not reporting to the Board, act as Compliance Officer and update the Board on the transactions relat
- SEBI has necessitated the listed companies to have Stakeholders Relationship Committee as per SEBI (LODOR) Regulations, 2015. Briefly explain the composition and role of Stakeholde
- For settlement of securities transactions in stock exchanges, the Clearing Corporation plays a major role for smooth functioning of capital market." Briefly explain the importance
- The Board of Directors of Mystique Enterprises Ltd. wants to buy-back the shares of the company through Book Building procedure. Explain the offer procedure to be followed by the c
- Once a Collective Investment Scheme (CIS) is launched, it can also be wind-up upon happing of certain events. State these events and duties of trustee in this regard.
- From the given data for the Option Contracts, you are required to compute profit or loss for each investor: Type of Option Exercise Price Position of the Investor Stock Price on Ex
- With the growing use of UPI transactions in India, SEBI has also allowed in public offers to make payment for the bid, blocking and release the amount during the offer process. In
- "Investment in securities market involves a number of risks. An investor should analyze and assess the risks." Explain various risks involved in investing in securities market.
- Write short notes on the followings: Book Closure and Record Date
- Write short notes on the followings: Responsibilities of Research Analysis
- Write short notes on the followings: Role of Stock Broker
- Write short notes on the followings: Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts (InvITs)
- Write short notes on the followings: Post trade surveillance.
- Ram purchased a 3 month call option for 100 shares in XYZ Ltd. at a premium of ₹ 30 per share, with an exercise price of ₹ 550. He also purchased a 3 months put option for 100 shar
- Every intermediary of securities market has to apply to SEBI for grant of certificate to act as intermediary. Describe various criteria on the basis of which SEBI can reject such a
- "The Stock Exchanges have a vital role to play in development of a country in general, and industrial growth of companies in the private sector in particular, and helps the Governm
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.