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| Section | Objectives |
|---|---|
| Topic 1: Risk Management | - Risk management in a securities broking firm
|
| Topic 2: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Topic 3: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Topic 4: Investor Grievance Redressal | - Process of investor grievances redressal
|
| Topic 5: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 6: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
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NEW QUESTION # 102
Which SEBI regulation lays down the general conditions for capital market issuances including Initial Public Offers (IPO), Rights Issues, and Qualified Institutional Placements (QIP)?
Answer: A
Explanation:
The SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (ICDR Regulations) lays down general conditions for capital market issuances like public and rights issuances, preferential issues, and qualified institutional placements.
NEW QUESTION # 103
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?
Answer: D
Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.
NEW QUESTION # 104
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?
Answer: D
Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.
NEW QUESTION # 105
Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)
Answer: A,B,C
Explanation:
The source specifies: 'The broker system should have an on-line risk management capability for all orders placed on the Exchange platform.' (Option A). 'The system should have pre-defined limits / checks such as Order Quantity and Value Limits... and only such orders which are within the parameters specified by the RMS are allowed to be pushed into exchange trading engines.' (Option C). 'The broker system should have capability to generate reports relating to margin requirements, payments, and delivery obligations.' (Option E).,
NEW QUESTION # 106
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)
Answer: A,B,C,D,E
Explanation:
As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, the stock exchanges operating in IFSC are permitted to deal in all the listed options: Equity shares of a company incorporated outside India, Depository receipt(s), Debt securities issued by eligible issuers, Currency and interest rate derivatives, Index based derivatives, Commodity derivatives, and REITs and InvITs.
NEW QUESTION # 107
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