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| Section | Weight | Objectives |
|---|---|---|
| Clearing and Settlement | 15% | - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations |
| Investor Protection | 7% | - Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution |
| Market Microstructure | 12% | - Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation |
| Trading Operations | 15% | - Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes |
| Risk Management and Margining | 18% | - Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures |
| Securities Market Overview | 10% | - Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market |
| Technology in Securities Markets | 8% | - Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity |
| Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices |
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NEW QUESTION # 184
Section 15A of the SEBI Act, 1992, prescribes penalties for failure to furnish information, returns, or reports. What is the specific penalty liability for a person who fails to furnish such documents within the specified time?
Answer: D
Explanation:
Section 15A of the SEBI Act states that a person shall be liable to a penalty which shall not be less than one lakh rupees, but which may extend to one lakh rupees for each day during which such failure continues subject to a maximum of one crore rupees, if he fails to furnish any document, return or report to SEBI.
NEW QUESTION # 185
Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?
Answer: C
Explanation:
The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.
NEW QUESTION # 186
According to the provisions regarding 'Settlement dues', if a clearing member fails to discharge their funds obligations at the notified time, which of the following liabilities or actions may they face? (Select all that apply)
Answer: C,D,E
Explanation:
The source states: 'A clearing member... shall render him liable for withdrawal of trading facility [Option A] or such other actions including disciplinary actions [Option B], as may be decided by the Relevant Authority [Option D].'
NEW QUESTION # 187
According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?
Answer: D
Explanation:
No institutional investor shall be allowed to do day trading, i.e., square off their transaction intra-day. All transactions would be grossed for institutional investors at the custodian level, and they are required to fulfill their obligation on a gross basis. Naked short selling is also prohibited.
NEW QUESTION # 188
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?
Answer: B
Explanation:
NEW QUESTION # 189
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