Professional Documents
Culture Documents
• What do you mean by financial system and its functions? How the long term growth of financial system is
ensured through?
• Discuss Role of Capital market in economy.
• Discuss in brief the various legislations governing the Indian Capital Market.
• IOSCO and its membership.
• What do you mean by financial instruments and explain the Factors affecting the preferences for choosing
any instruments by issuer and investors.
• Explain:
o Sweat equity shares and DVR with conditions
o Tracking Stock and its advantages
o Mortgage backed securities
o Secured Premium Notes
o Carrot & Stick bonds
MONEY MARKET
• What do you mean by Collective Investment Scheme and eligibility conditions for registration under SEBI
regulations?
• Discuss the various restrictions on business activities of Collective Investment Management Company?
• What do you mean by EURO ISSUE and what are the Purpose/benefits to Issuer and Investor?
• Explain the provisions, eligibility and procedure for issuance of GDR/FCCB.
• Write note on following:
o Sponsored ADR/GDR issue
o One and two way fungibility
o Parking of FCCB/ FCEB proceeds
o Road shows• What is difference between FCCB and FCEB.• Explain the various tracks and forms
available under External Commercial Borrowings (ECB)?
• Explain External Commercial Borrowings (ECB) reference to:o How it can be accessed, who are eligible
borrowers under different routes?
o End use of ECB proceeds.
o End use not permitted of ECB proceeds
o Parking of ECB proceeds
o Recognized Lenders and borrowers
o Conversion of ECB into equity
• What are the Conditions for Company making any public issue of non-convertible redeemable preference
shares?
• Define “Perpetual Non-Cumulative Preference Share” “Innovative Perpetual Debt Instrument” .
SCRA-1956
• State the conditions and procedure for Recognition of Stock Exchanges and Clearing Corporations.
• What are the guidelines for ownership of Stock Exchanges and Clearing Corporation under SCRA
Regulations? Can a stock exchange be a listed company?
• Explain the following:
o Corporatisation and Demutualisation of stock exchanges.
o Clearing Corporation
• What are the provisions under SCRA-1956 for public issue and listing of securities?
• State the grounds on which stock exchanges can delist the securities of a company under the SCRR,
1957.
• What is the remedy available to accompany if a stock exchange refuse to list its securities under SCRA
Act, 1956
• What are the Qualification prescribed for Individual and Corporate Membership of a recognised Stock
Exchange?
• Explain the provisions for Continuous Listing Requirements (Minimum public shareholding under SCRA-
1956
DEPOSITORIES ACT-1996
• What are the various types of listing and benefits of listing? What is difference between Listed cleared
securities and permitted securities.
• Explain the legal provisions of listing under Co. Act-2013 and SCRA-1956
• Explain the legal provisions under the various listing Regulations:
o Regulation 6
o Regulation 17
o Regulation 18
o Regulation 29
o Regulation 31
• Regulation 33
• Regulation 42
• Discuss corporate governance provisions under SEBI (LODR), 2015.• Distinguish between voluntary
delisting of securities and compulsory delisting of securities briefly explain the procedure for voluntary
delisting only from some of the stock exchange.• State the circumstances where delisting is not permissible.
ISSUE OF SECURITIES
• Explain the eligibility norms for public issue under SEBI (ICDR) Regulations.
• Explain the following with relevant provisions or conditions:
o Promoters’ contribution and lock in requirements
o Reservation on competitive basis
o Allocation in net offer to public
o Anchor investor
o Green Shoe Option
o ASBA and Self Certified Syndicate Bank.
o Face value of securities
o QIB and Anchor investors
• Explain conditions for bonus issue of securities.
• Explain Book building and Alternate Method of Book Building.
• Preferential issue by existing listed companies
• What are the conditions for making Qualified Institutions placement under SEBI ICDR Regulations?
• What is Institutional Placement Programme (IPP)?
• Listing on institutional trading platform.
• What are the criteria for issue specified securities by a SME and Briefly discuss the provisions relating to
the migration of a listed company from Main Board to SME Exchange under SEBI (ICDR) Regulations
migrations?
INSIDER TRADING
TAKEOVER CODE
• Describe following:
o Takeover,
o Persons Acting in Concert
o Trigger point for making an open offer by an acquirer
o Creeping acquisition
• Public announcement• What are the conditions for making Mandatory and Voluntary open offer?• What is
mode of payment under SAST Regulations?• Briefly explain the conditions on which SEBI can grant
exemption to an acquirer.• What are the Escrow account obligations towards security for performance
obligations under SAST Regulations?
• What are the Investors’ rights and responsibilities under securities Laws?
• Whom to approach for complaint against stock brokers/depository participants.
• What is Legal framework for investor protection in India?
• When can a case relating to Investor Protection be referred for arbitration?
• Which are the matters that are not considered as complaints of Investor by SEBI?
Do first 3 chapters very well, Equity shares with DVR, Secured premium Note,
Disaster Bond, Tracking Stock, Commodity bond, Industrial revenue Bond,
Margin trading /margin, Rolling settlement, Short selling, Surveillance,
Derivative, Corporatization and Demutualization, Debt Market, Rollover of
Debenture, Fund of funds , Hedge funds, Categories of AIF, Short Note of CIS,
Restriction on business activity, Concept of trustee, Sponsored ADR/GDR- Two
way Fungibility, Procedure for issue of ADR/GDR/IDR, Conditions for issue of
IDR, Road shows, SAT, Short note on DP, Immobilization,
Pledge/Hypothecation, Internal audit of DP, SEBI (LODR) – Compliance officer,
Unaudited quarterly results, Whistle blowing policy, CEO/CFO certification ,
Voluntary delisting, Conditions for compulsory delisting, Public issue –
Reg,26(1), Fast track issue, ASBA, -Book building, Green shoe option, Right
issue, Preferential issue, QIP, Face value, Insider trading, Price sensitive
information, Investor protection – SCORES, IEPF, Take over – Defensive
strategic