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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading Operations | 15% | - Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes |
| Topic 2: Market Microstructure | 12% | - Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types |
| Topic 3: Regulatory Framework | 15% | - Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations |
| Topic 4: Risk Management and Margining | 18% | - Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies |
| Topic 5: Securities Market Overview | 10% | - Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles |
| Topic 6: Technology in Securities Markets | 8% | - Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity |
| Topic 7: Investor Protection | 7% | - Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution |
| Topic 8: Clearing and Settlement | 15% | - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee |
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NEW QUESTION # 33
According to the SEBI (International Financial Services Centres) Guidelines, 2015, which of the following criteria must a 'Person resident in India' satisfy to deal in securities listed in the IFSC?
Answer: A
Explanation:
As per the SEBI (International Financial Services Centres) Guidelines, 2015, one of the categories of persons eligible to deal in securities listed in IFSC is a 'person resident in India who is eligible under FEMA, to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme of Reserve Bank of India, subject to a minimum investment as specified by the Board from time to time'.
NEW QUESTION # 34
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?
Answer: C
Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.
NEW QUESTION # 35
To safeguard client funds during the running account settlement process, SEBI has stipulated specific banking procedures. Which of the following statements correctly describes the requirement regarding the 'Up Streaming Client Nodal Bank Account' (USCNBA) during settlement?
Answer: E
Explanation:
To safeguard against misuse, Trading Members shall ensure that funds, if any, received from clients whose running account has been settled, remain in the 'Up Streaming Client Nodal Bank Account' and no such funds shall be used for settlement of running account of other clients.
NEW QUESTION # 36
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: A,B,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 # 37
Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?
Answer: E
Explanation:
At present, complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt with through SCORES. Other exclusions include complaints against unlisted/delisted companies, sub-judice cases, and those under other regulators like RBI/IRDAI.,
NEW QUESTION # 38
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