SLCM Most important topic June 2022

PART-B

Chapter 16

Q1) Write a short note on the following

1. Under writers 1. Merchant Banker

2. Portfolio Manager 2. Registrars and share transfer agents
3. Custodian of securities 3. Stock broker and sub broker
4. Research Analysts 4. Investment Advisor
5. Credit rating agencies
6. Depository Participants

Q2) Procedure for registration of intermediaries and their general obligations.

Chapter 15 (i)

Q1) What are the difference between Primary Market and Secondary Market.
Q2) Powers of SEBI - Quasi judicial, Quasi legislative, Quasi Executive, Power to issue informal guidance.

Q3) Define the following : -

a) Qualified Institutional Buyers

b) Categories of Foreign Portfolio Investors

c) Private Equity

d) High Net Worth Individual

e) Venture Capital

d) Pension Fund

e) FCCB

f) FCEBS

g) Anchor Investors

h) Green Shoe Option

i) ASBA process

j) UPI

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Chapter 15 (ii)

Q1) Role of a Stock Exchange.

Q2) Book closure and record date.

Q2(ii) Margins
Q3) Bulk Deal

Q4) Basis of Sensex

Q5) Preventive surveillance under Market surveillance

Q6) Objectives of Monetary policy

Q7) Key difference between WPI & CPI

PART-A
Chapter 1

Q1) Recognition of Stock Exchange and its withdrawal of recognition.

Q2) Power of Central Government

Q3) Clearing Corporation and Punishment for Contraventions.

Q4) Powers of Recognised stock exchange to make Bye-laws

Q5) Power of Central Government and SEBI to suspend business of RSE.

Q6) All penalties from 23A-23H.

Q7) Right to receive dividend declared by company

Q8) Right to receive income from Mutual Fund.

Q9) Rule 21 Delisting of securities.

Chapter 2

Q1) Management and Functions of SEBI.

Q2) Power of SEBI to conduct investigation.

Q3) Penalties and Adjudication

Q4) Factors to be Taken into Account while Adjudging quantum of penalty.

Q5) Qualification to be appointed as a presiding officer or a member of the SAT.

Q6) Appeal to the Securities Appellate Tribunal.

Q7) Power of central government to supersede SEBI.

Q8) Continuance of proceedings Section 28 B (1)

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 Chapter 3

Q1) Functions and Benefits of Depository System.

Q2) Models of Depositories.

Q3) Procedure for Dematerialisation and Re-materialisation.

Q4) Eligibility conditions for depositories services.

Q5) Short note on Fungibility

Q6) Pledge or hypothecation of securities held in a Depository

Q7) Power of depositories to make byelaws.

Chapter 4

Q1) Eligibility for IPO.

Q2) Conditions for IPO and Conditions for FPO.

Q3) Book Building procedure.

Q4) Green Shoe Option.

Q5) Qualified institutions Placement.

Q6) Anchor investors.

Q7) Fast track issue.

Q8) Innovators growth Platform.

Chapter 5

Q1) Definition of Independent Director.

Q2) Obligation of Listed entities.

Q3) All compliances under SEBI.

Q4) Exception to listed entities which has listed specified securities.

Q5) Composition of Board of Directors.

Q6) Board Committees.

Q7) Regulations Applicable on top 500, top 1000 and top 2000 listed entities.

Q8) When will a transaction with a related party be material?

Q9) Vigil Mechanism

Q10) Related party Transaction.

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 Chapter 6

Q1) Person acting in concert.

Q2) Acquisition of shares and control.

Q3) Public announcement and detailed public statement.

Q4) Offer price.

Q5) Escrow account

Q4) Mode of payment

Q5) Obligation of target company

Q6) Obligation of acquirer.

Q7) Annual Disclosures.

Chapter 7

Q1) Obligation of company and Merchant Banker.

Q2) Procedure for Buy Back

a) through open market

b) through book building procedure

c) through stock exchange.

Q3) Escrow Account provisions

Chapter 8

Q1) Non applicability of delisting regulations.

Q2) Procedure for voluntary delisting from all stock exchanges.

Q3) Procedure for voluntary delisting of small companies.

Q4) Compulsory Delisting.

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 Chapter 9

Q1) Implementation of scheme through Direct Route.

Q2) Implementation of scheme through Trust Route.

Q3) Eligibility Criteria, Compensation Committee, Shareholders Approval.

Q4) Variation of the terms of the Scheme.

Q5) Short notes on

a) ESOS

b) ESPS

c) SARS

Chapter 10 COMPANY LAW

Chapter 11

Q1) Definitions

a) Persons deemed to be connected.

b) Insider

c) Unpublished Price Sensitive information.

d) Compliance officer.

Q2) Short notes

a) Trading Plan

b) Disclosure of trading or interest

c) Code of fair disclosure or conduct

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 Chapter 12

Q1) Advantages of Mutual Fund and Risk involved.

Q2) Kinds of Mutual Fund Scheme.

Q3) Difference between close ended and open ended.

Q4) Principal constituents and Intermediaries of mutual fund.

Q5) Advertisement code of conduct of Mutual Fund.

Q6) Overseas investment by Mutual Fund.

Q7) Obligation of entities which has listed its Mutual Fund units.

Q8) Write short notes on the following

a) Key information memorandum.

b) Calculation of Net Asset Value.

c) Asset under management.

d) Holding period return.

Chapter 13

Q1) Define collective investment scheme also state which shall not be considered as collective investment scheme.

Q2) Registration procedure and winding up of existing CIS.

Q3) Restrictions and obligations on CIS.

Q4) Rights and obligations of Trustee.

Q5) Cancellation of registration.

Chapter 14

Q1) The salient features of SCORES.

Q2) Time line for lodging complaint in SCORES.

Q3) Timelines for handling of complaints and actions in case of non compliances.

Q4) List of complaints which are not considered in SCORES.

Q5) When can a case be referred for Arbitration.

Q6) Who is Ombudsman?

Q7) Settlement by Mutual Agreement ( Award and Adjudication, Finality of Award, Review of Award )

Q8) SEBI informal guidance scheme 2003.

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