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Questions and Answers
What is the primary objective of the RBI in administering the Foreign Exchange Management Act 1999?
What is the primary objective of the RBI in administering the Foreign Exchange Management Act 1999?
- To promote orderly development and maintenance of the foreign exchange market (correct)
- To regulate the securities market
- To protect the interests of investors in securities
- To issue currency and coins
What is the RBI's role in the banking sector?
What is the RBI's role in the banking sector?
- To act as a regulator of the securities market
- To issue and exchange currency notes and coins
- To administer the Foreign Exchange Management Act 1999
- To act as a banker to the Government and manage issuances of Central and State Government Securities (correct)
What is the primary role of the SEBI?
What is the primary role of the SEBI?
- To act as a banker to the Government
- To issue and exchange currency notes and coins
- To regulate the foreign exchange market
- To protect the interests of investors in securities and to promote the development of and to regulate the securities market (correct)
What is the RBI's role in the development of the country?
What is the RBI's role in the development of the country?
What is the objective of the RBI in issuing currency notes and coins?
What is the objective of the RBI in issuing currency notes and coins?
Which of the following is NOT a role of the RBI?
Which of the following is NOT a role of the RBI?
What is the primary criterion for determining a connected person?
What is the primary criterion for determining a connected person?
Until when is a person deemed to be a connected person?
Until when is a person deemed to be a connected person?
What is the minimum duration of association with a company required to be considered a connected person?
What is the minimum duration of association with a company required to be considered a connected person?
What type of relationship with a company can make a person a connected person?
What type of relationship with a company can make a person a connected person?
What is the significance of frequent communication with a company's officers in determining a connected person?
What is the significance of frequent communication with a company's officers in determining a connected person?
What is the duty of a person under investigation according to regulation 8(1)?
What is the duty of a person under investigation according to regulation 8(1)?
What action can SEBI take without prejudice to the provisions of section 11 and 11B of the SEBI Act?
What action can SEBI take without prejudice to the provisions of section 11 and 11B of the SEBI Act?
What is the purpose of SEBI's actions under this regulation?
What is the purpose of SEBI's actions under this regulation?
What is SEBI empowered to do to an office-bearer of a stock exchange or self-regulatory organisation?
What is SEBI empowered to do to an office-bearer of a stock exchange or self-regulatory organisation?
What is the consequence of a transaction being in violation or prima facie in violation of these regulations?
What is the consequence of a transaction being in violation or prima facie in violation of these regulations?
What is the scope of SEBI's directions to an intermediary or person associated with the securities market?
What is the scope of SEBI's directions to an intermediary or person associated with the securities market?
Which type of communication is specifically excluded from the applicability of the advertisement code?
Which type of communication is specifically excluded from the applicability of the advertisement code?
What is the minimum font size required for the standard warning in an advertisement?
What is the minimum font size required for the standard warning in an advertisement?
What information is required to be disclosed in an advertisement, as per the advertisement code?
What information is required to be disclosed in an advertisement, as per the advertisement code?
What is the purpose of the standard warning in an advertisement?
What is the purpose of the standard warning in an advertisement?
Can the standard warning in an advertisement be modified by adding or deleting words?
Can the standard warning in an advertisement be modified by adding or deleting words?
What is the consequence of not complying with the advertisement code?
What is the consequence of not complying with the advertisement code?
What minimum qualification is required for employees of proxy advisors engaged in providing proxy advisory services?
What minimum qualification is required for employees of proxy advisors engaged in providing proxy advisory services?
In what time period should proxy advisors comply with capital adequacy requirements as per the text?
In what time period should proxy advisors comply with capital adequacy requirements as per the text?
What kind of relationship must a research analyst or research entity not have with a third party research provider to be exempt from certain provisions?
What kind of relationship must a research analyst or research entity not have with a third party research provider to be exempt from certain provisions?
Which chapter's provisions apply to proxy advisers as per the text?
Which chapter's provisions apply to proxy advisers as per the text?
In addition to other disclosures, what must a proxy adviser disclose as per the text?
In addition to other disclosures, what must a proxy adviser disclose as per the text?
What is one of the requirements for proxy advisers regarding their voting recommendations as per the text?
What is one of the requirements for proxy advisers regarding their voting recommendations as per the text?
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