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| Section | Weight | Objectives |
|---|---|---|
| Securities Market Overview | 10% | - Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market |
| Technology in Securities Markets | 8% | - Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity |
| Risk Management and Margining | 18% | - Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures |
| Investor Protection | 7% | - Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal |
| Trading Operations | 15% | - Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution |
| Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms |
| Market Microstructure | 12% | - Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types |
| Regulatory Framework | 15% | - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices |
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NEW QUESTION # 139
Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?
Answer: C
Explanation:
Systemic Risk refers to '(1) the scenario that a disruption at a firm, in a market segment, or to a settlement system could cause a 'domino effect' throughout the financial markets... or (2) a 'crisis of confidence' among investors, creating illiquid conditions'.
NEW QUESTION # 140
Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?
Answer: D
Explanation:
An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.
NEW QUESTION # 141
Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?
Answer: A
Explanation:
To ensure uniformity and clarity, settlement of running account shall be settled on the "first Friday and/or Saturday" of every month/quarter. Stock exchanges issue the annual calendar for this purpose.
NEW QUESTION # 142
Which regulatory framework governs the operationalization of the Bullion Exchange, Bullion Clearing Corporation, Bullion Depository, and Vault Manager within the IFSC?
Answer: A
Explanation:
IFSCA (International Financial Services Centres Authority) has issued operating guidelines to enable the Bullion Exchange, Bullion Clearing Corporation, Bullion Depository, and Vault Manager in an IFSC to operationalize these activities as per the IFSCA (Bullion Exchange) Regulations, 2020.
NEW QUESTION # 143
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)
Answer: A,B,C
Explanation:
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.
NEW QUESTION # 144
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