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| Section | Weight | Objectives |
|---|---|---|
| Securities Market Overview | 10% | - Structure and segments of Indian securities market - Types of securities and products - Market participants and their roles |
| Risk Management and Margining | 18% | - Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies |
| Market Microstructure | 12% | - Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types |
| Investor Protection | 7% | - Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal |
| Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations |
| Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries |
| Technology in Securities Markets | 8% | - Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity |
| Trading Operations | 15% | - Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes |
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NEW QUESTION # 103
In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?
Answer: D
Explanation:
According to the section on Settlement dues, 'The clearing members and custodians shall pay to the clearing agency whatever is due to them for settlement of their transactions / positions. 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 # 104
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)
Answer: A,B,C
Explanation:
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.
NEW QUESTION # 105
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 # 106
In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?
Answer: B
Explanation:
According to the Close Out Procedure, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out OR 20 percent over the official closing price on the close out day, whichever is HIGHER. Calculation: Highest Price = Rs. 540.20% over Closing Price on Close out day = 550 + (20% of 550) = 550 + 110 = Rs. 660. Since 660 > 540, the close out price is Rs. 660.
NEW QUESTION # 107
In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?
Answer: E
Explanation:
The guidelines specify: 'The Stock Exchanges shall ensure that once a TM has been declared defaulter, the claim(s) shall be placed before the Member Committee (MC) for sanction and ratification. MC's legitimate claims shall be sent to the IPF Trust for immediate disbursement of the amount.'
NEW QUESTION # 108
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