Mock Test

MOCK TEST 1

Sura Academy provides coaching for CA, CS ,CMA India’s best coaching centre. Training done by expert faculties. CA coaching classes in bangalore , jaynagar branch. Mock tests are conducted regularly for continuous improvement of the students. Registration with the board will also be helped by the staff of Sura Academy


SURA ACADEMY
Mock Test – 1
Capital Markets and Security Laws
            Total Marks 50       (5 Marks Each)

1) Explain about IDR, FCCB, FCEB

2) What are the conditions for issue of shares with differential voting rights under Companies Act, 2013?

3) Who is ombudsman? What is the powers and functions of ombudsman?

4) What is scores? Briefly discuss the salient features of scores.

5) Who is eligible to make a request under the SEBI (informal guidance) scheme, 2003?

6) Explain about the pricing of sweat equity shares as per Sebi provisions?

7) Explain about issue procedure of sweat equity shares under SEBI provisions?

8) Briefly explain the procedure for buyback of securities by a listed company?

9) What is meant by escrow account and what should be deposited? If yes how much should be deposited?

10) Objectives of buy back?

 


MOCK TEST 2


SURA ACADEMY
Mock Test – 2
Capital Markets and Security Laws
            Total Marks 50       (5 Marks Each)

           Each question carry 4 marks              (12*4=48+2=50)                      

Question 1

a) Explain the powers of central government under SEBI act? 4 marks

b) Write a note on composition of SEBI and SAT? 4 marks

c) What are the grounds for investigation, SEBI can do? 4 marks

d) Explain about the consent order 4 marks


 Question 2

a) As a company secretary, ABC ltd violated the provisions of mutual funds and failed redress investors grievances? What are the consequences of it? 4 marks

b) What are the factors adjudicating office take into account in adjudging the penalty, as per SEBI act?4 marks

c) Elucidate the procedure for dematerialization of shares? 4 marks

d) Write a note on fungibility? 4 marks


Question 3

a) What do you mean by insider trading? Enumerate the penalties which can be imposed under the SEBI act 1992 for insider trading? 4 marks

b) What are the restrictions on communication or procurement of UPSI? 4 marks

c) Discuss the types of market intermediaries in the securities market? 4 marks

d) What is the difference between custodian and depository?   4 marks


Question 4

a) what is meant by research analysis ? Elucidate the capital adequacy norms laid down under SEBI regulations for registration as research analysts?                                                                    2 marks