Dec - 21-Important Questions - Security Law & Capital Market

PRACTICE QUESTIONS- SECURITIES LAWS AND CAPITAL MARKETS – 100 MARKS
FOR CS EXE. AND PROF. SHANTANU BHANDARY CLASSES- ALL SUBJECTS AVAILABLE – CONTACT
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IMPORTANT QUESTION BY SHANTANU &

TANYA ACADEMY
(The Views Expressed are Personal and in no way Guarantee the Question Pattern and the author
takes no responsibility of any coincidence whatsoever-JUST AN small initiative for Shantanu & Tanya
Academy)
DECEMBER 2021
SUBJECT :
SECURITIES LAWS AND CAPITAL MARKETS–
(CS EXECUTIVE)
1. Explain, how the amount can be recovered by the SEBI under the provisions of SEBI Act, 1992
& Entities not eligible to make an initial public offer
2. Half yearly compliance requirements as per the SEBI(Listing Obligations and Disclosure
Requirements) Regulations, 2015. Explain the same
3. What do you mean by Whistle Blower Policy? & Concurrent Audit
4. Procedure for redressal of investor grievances using SCORES platform ? What are the matters
that cannot be considered as complaints under SCORES ? & Minimum Subscription
[Regulations 45 & 141]
5. Sweat equity shares may be issued to employee and directors of the company. In light of this
statement explain the provisions with respect to issue of sweat equity shares under SEBI (Issue
of Sweat Equity) Regulations, 2002 & lock-in period under ESPS
6. What do you understand by Market surveillance? Briefly explain the different types of Market
surveillance & Real Estate Investment Trusts (REITs) and Infrastructure Investment Trusts
(InvITs)
7. What is Unified Payments Interface (UPI)? How is public issue application using UPI different
from public isssue application using ASBA submitted with intermediaries? Explain & Omnibus
approval of Audit Committee
8. Write Short Note of the following:
a. Indian Depository Receipts & Asset Management Company
b. Merchant Banker & Red Herring Prospectus (RHP)
c. Registrar and Share Transfer Agent & Insider
d. Fungibility & offer for sale & Regulatory sandbox
e. Custodian of Securities & Sponsor
f. creeping acquisition & High Net Worth individual
g. Research Analysts , Open Ended & Close Ended Mutual Funds
h. escrow account & Expense Ratio in Mutual Fund
i. stabilizing agent & Credit rating agency
j. Green Shoe Option & Foreign Portfolio Investors
k. Spot Delivery Contract & Qualified Institutional Buyers
l. Stock Exchange & Unpublished price sensitive information
m. Derivative & CIS Insurance Provision
n. Clearing Corporation & Alternative Investment Funds
o. Minimum Public Shareholding & Self-Certified Syndicate Bank
p. Compulsory Delisting vs . voluntary delisting
q. Fungibility & Frequently traded shares as SEBI -SAST
a. Book Closure and Record Date
r. Block deal & Bulk Deal - Bank vs. Depository
b. Nifty& Exchange Traded Funds
c. Angel Fund & Venture Capital
d. Basis of SENSEX & Investor Protection and Education Fund
9. Elucidate the eligibility criteria for a depository to provide depository services in India &
Procedure For Dematerialisation & Fast Track FPO [Regulation 155]
10. ABC Ltd (Acquirer) along with Person acting in concert (PAC) holds 24% shares in XYZ Ltd.
(Target Company). ABC Ltd. planning to acquire 5% shares of XYZ Ltd. Whether above
acquisition of shares would attract the provisions of Regulation 3(2) of SEBI (SAST)
Regulations, 2011 requiring open offer to the shareholders of the Target Company? &
Obligations Of The Target Company
11. Define and state the role and responsibilities of Research Analysts & Eligibility Criteria for Main
Board Listing as per SEBI (ICDR), 2018 & Procedure For Issuing Esop By A Listed Company
12. Explain the Stock Appreciation Rights Scheme (SARS) & Securities Ineligible for Minimum
Promoters’ Contribution
13. Startups companies have now come up with an Initial Public offer with relaxation of many
conditions applicable for Initial Public Offer. In this context, briefly, explain about the
“Institutional Trading Platform (ITP)” and eligibility for listing
14. Explain the various risks involved in investing in mutual funds & Appeal to the Securities
Appellate Tribunal
15. What is meant by Anchor Investor ? What are the limitations of allocation to anchor investors
in the Book building process ? ? & Procedure for Compulsory & Voluntary delisting from all
the stock exchanges
16. What are the material events requiring a review by the Credit Rating Agencies as per SEBI’s
circular ? & Composition of Audit Committee & Nomination & Remuneration Committee
17. ST Ltd. applied for listing of instruments in a recognized stock exchange. However, permission
was refused by the stock exchange. Can the company appeal to SAT against such refusal ?
Explain ? & Internal Audit of Depository Participant
18. State the prior conditions to be fulfilled for a nominee directors under the SEBI regulations for
ESOP eligibility. ? & Process of ESOP through Trust Route
19. As a Company Secretary prepare a note voluntary delisting from a few stock exchanges subject
to listing of at least one stock exchange having nation wide terminals in the light of SEBI
(Delisting of Equity Shares) Regulations, 2009 & also explain agencies involved
20. “The holding of securities in dematerialise form is not mandatory”. Explain the relevant
provisions with reference to the Depositories Act & Conditions for a bonus issue
21. The management intends to implement a “Code of Conduct” for Board of directors and senior
management under SEBI (LODR) Regulations, 2015. You are required to prepare a draft
agenda for the Board meeting on the applicability of above provisions. & obligations of Listed
Entities under the SEBI LODR Regulations, 2015
22. Composition of Board of Director as per SEBI LODR & Who can be a Compliance Officer under
SEBI (PIT) Regulation, 2015
23. Can Terms of Employee Stock Option Scheme be varied after they are issued to employees ?
24. Applicability of exemption provided under SEBI (SAST) Regulations for making compulsory
open offer
25. A company is planning for Initial Public Offer of its equity shares. It has decided differential
pricing for retail individual investors (RII) and QIBs and Non-Institutional Investors (NIIs). The
proposed price for RII is ` 250 and for QIB and NII is ` 300. Examine the validity of proposal of
the company in light of SEBI regulations.
26. Can a Company buy-back its own shares or any specified securities through negotiated deals
or through any private arrangements ? Comment with methods allowed for buy-back. & also
is there any special provision for buy back from small shareholders
27. Can Terms of Employee Stock Option Scheme be varied after they are issued to employees ?
28. Trigger of obligation upon the Transferor for open offer under SEBI (SAST) REGULATIONS &
General Obligations of Collective Investment Scheme Company
29. Conditions for buy-back of shares including source of buy back & Innovators Growth Platform
& Procedure for launching of collective investment schemes & its meaning
30. Conditions for issue for differential voting rights & Entities not eligible to make a rights issue
31. Explain the SEBI provisions with regard to celebrity endorsements of Mutual Funds at industry
level
32. What are the disclosure requirements under the SAST Regulations & Persons Acting in Concert
under the SEBI (SAST) Regulations, 2011
33. Explain Informal Guidance under SEBI (Informal Guidance) Scheme, 2013
34. Unpublished Price Sensitive Information & factors to be taken into account by the adjudicating
officer while imposing penalty for the act ?
35. Method to Calculate NAV (Net asset Value) In Mutual Fund & Entities not eligible to make an
initial public offer [Regulation 228] (SMALL AND MEDIUM ENTERPRISES)
36. “The holding of securities in dematerialise form is not mandatory”. Explain the relevant
provisions with reference to the Depositories Act
37. “Increase in voting rights in a target company by any shareholder pursuant to buyback is
exempted from the obligation to make an open offer subject to certain conditions”
38. As a company secretary, advise the Board of directors of your company regarding provisions
and procedures to be adopted for filing such petition under the SEBI (Ombudsman)
Regulations, 2003
39. Enumerate the various responsibilities of Debenture trustee as per SEBI (Debenture Trustees)
Regulations, 1993
40. SEBI received complaints from some investors alleging that Sunaina Ltd. and some brokers are
indulging in price manipulation in the shares of Sunaina Ltd. Explain the powers that can be
exercised by SEBI under the Securities and Exchange Board of India Act, 1992 in case the
allegations are found to be correct.
41. eligibility criteria for a depository to provide depository services in India
42. What do you mean by Private equity? Briefly explain the various categories of private equity
43. impact of various monetary policies on Indian stock market
44. Application for recognition of stock exchange & Powers of Central Government under SCRA
45. Functions And Powers Of The SEBI & Penalties for the following:
a. Failure to redress investors’ grievances
b. Certain defaults in case of mutual funds.
c. Insider Trading
46. Factors to be Taken into Account while Adjudging quantum of penalty
47. Qualification for appointment as Presiding Officer or Member of Securities Appellate Tribunal
48. Buy-back through Book Building
49. Role Of Company Secretary As Compliance Officer
50. Discuss any 5 Types of market intermediaries in the Securities market
51. All designated persons are insiders, but all insiders are not designated persons. Do you agree

Dec - 21-Important Questions - Security Law & Capital Market

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PRACTICE QUESTIONS- SECURITIES LAWS AND CAPITAL MARKETS – 100 MARKS

IMPORTANT QUESTION BY SHANTANU &

3. What do you mean by Whistle Blower Policy? & Concurrent Audit

PRACTICE QUESTIONS- SECURITIES LAWS AND CAPITAL MARKETS – 100 MARKS

PRACTICE QUESTIONS- SECURITIES LAWS AND CAPITAL MARKETS – 100 MARKS

41. eligibility criteria for a depository to provide depository services in India

43. impact of various monetary policies on Indian stock market

PRACTICE QUESTIONS- SECURITIES LAWS AND CAPITAL MARKETS – 100 MARKS

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