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| Section | Objectives |
|---|---|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Risk Management | - Risk management in a securities broking firm
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
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NEW QUESTION # 105
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?
Answer: D
Explanation:
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.
NEW QUESTION # 106
Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?
Answer: B
Explanation:
According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.
NEW QUESTION # 107
In the context of Settlement Dues, the clearing agency pays moneys payable to clearing members and custodians for every settlement. What is the specific basis for determining these payable amounts?
Answer: D
Explanation:
The text mentions: 'In turn, the clearing agency shall pay to the clearing members and custodians moneys payable to them for every settlement for their transactions / positions. This is based on the information provided by the Exchange or Clearing Agency.'
NEW QUESTION # 108
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?
Answer: C
Explanation:
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,
NEW QUESTION # 109
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?
Answer: D
Explanation:
The operational guidelines for the T+0 rolling settlement cycle explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'
NEW QUESTION # 110
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