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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Microstructure | 12% | - Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency |
| Topic 2: Securities Market Overview | 10% | - Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products |
| Topic 3: Clearing and Settlement | 15% | - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee |
| Topic 4: Risk Management and Margining | 18% | - Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures |
| Topic 5: Investor Protection | 7% | - Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution |
| Topic 6: Trading Operations | 15% | - Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes |
| Topic 7: Technology in Securities Markets | 8% | - Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity |
| Topic 8: Regulatory Framework | 15% | - Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries |
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NEW QUESTION # 241
Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?
Answer: B
Explanation:
The text states: 'Two-factor authentication for login session may be implemented for all orders emanating using Internet Protocol. Public Key Infrastructure (PKI) based implementation using digital signatures, supported by one of the agencies certified by the government of India, is advisable. Further the two factors in the Two-factor authentication framework should not be same.'
NEW QUESTION # 242
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?
Answer: C
Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.
NEW QUESTION # 243
Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)
Answer: A,C,E
Explanation:
Statement A is correct: Netting is available for non-institutional CPs clearing through the same entity registered as custodian in cash and CM in F&O. Statement B is incorrect: Investors whose TM clears through different CM/CC will not be able to avail the benefit. Statement C is incorrect: STT/Stamp Duty continue to be computed on a segment-wise level. Statement D is correct: Netting is only for the purpose of settlement. Statement E is correct: CCs continue to maintain segment-wise default waterfalls.
NEW QUESTION # 244
Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?
Answer: A
Explanation:
STP is defined as 'electronically capturing and processing transactions in one pass, from the point of first deal' to final settlement'. It involves the use of a single system to process elements of the workflow, streamlining trade execution and settlement and avoiding manual entry/re-entry.
NEW QUESTION # 245
Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.
Answer: C
Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,.
NEW QUESTION # 246
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