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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Investor Protection | 7% | - Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal |
| Topic 2: Market Microstructure | 12% | - Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types |
| Topic 3: Securities Market Overview | 10% | - Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market |
| Topic 4: Risk Management and Margining | 18% | - Risk monitoring and control measures - Types of risks in securities operations - Margining systems and methodologies |
| Topic 5: Technology in Securities Markets | 8% | - Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity |
| Topic 6: Regulatory Framework | 15% | - Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries |
| Topic 7: Trading Operations | 15% | - Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms |
| Topic 8: Clearing and Settlement | 15% | - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations |
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NEW QUESTION # 209
Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)
Answer: A,B,C,E
Explanation:
The Clearing Corporation guarantees settlement (novation), reduces payments via netting, provides dispute resolution/legal enforcement (buyers/sellers don't sue each other), and calculates/controls margining. Option D is incorrect because the Clearing Corporation does not execute orders; execution is the function of the Stock Exchange/Trading Members.
NEW QUESTION # 210
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?
Answer: B
Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).
NEW QUESTION # 211
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 # 212
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?
Answer: B
Explanation:
NEW QUESTION # 213
Besides the settlement of fund obligations, the distinct clearing bank account opened by a Clearing Member is mandated to be used for which of the following sets of transactions?
Answer: C
Explanation:
The clearing bank account is exclusively for clearing and settlement operations. Specifically, it is used for settlement of fund obligations, payment of margins, release and enhancement of collateral, Early Pay-ln (EPI) of funds, and penal charges.
NEW QUESTION # 214
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