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| Section | Objectives |
|---|---|
| Topic 1: Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Topic 2: Investor Grievance Redressal | - Process of investor grievances redressal
|
| Topic 3: Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Topic 4: Indian Securities Market | - Overview of the Indian securities market
|
| Topic 5: Risk Management | - Risk management in a securities broking firm
|
| Topic 6: Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
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NEW QUESTION # 200
Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)
Answer: A,C,D,E
Explanation:
Transfer of securities from one account to another may be done for any of the following purposes: a. Transfer due to a transaction done on a person-to-person basis i.e. 'off-market' transaction. b. Transfer arising out of a transaction done on a recognised Stock Exchange. c. Transfer arising out of transmission of securities and account closure.
NEW QUESTION # 201
Which of the following correctly defines the trading timings for the beta version of the T+0 rolling settlement cycle?
Answer: A
Explanation:
The trade timings for the T+0 settlement cycle are defined as: 'One continuous trading session from 09:15 AM to 1 PM'.
NEW QUESTION # 202
Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?
Answer: B
Explanation:
According to the SCORES 2.0 framework, the Designated Body shall stipulate the timeline in such a manner to ensure that the Designated Body submits the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
NEW QUESTION # 203
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)
Answer: A,D,E
Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.
NEW QUESTION # 204
Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?
Answer: D
Explanation:
In cases where positions in derivatives segment for stock futures and index futures are in the same expiry month, a **spread margin of 25%" of the total applicable margin on the eligible offsetting positions shall be levied. (30% is for eligible equity indices pairs).
NEW QUESTION # 205
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