Podcast
Questions and Answers
What powers does SEBI have in relation to market intermediaries?
What powers does SEBI have in relation to market intermediaries?
- To register, regulate, and penalize them for violations (correct)
- To create market intermediaries
- To provide financial assistance
- To offer tax exemptions
What is the main objective of the Securities Contracts (Regulation) Act, 1956?
What is the main objective of the Securities Contracts (Regulation) Act, 1956?
- To encourage undesirable transactions in securities
- To prevent undesirable transactions in securities (correct)
- To allow unrestricted trading in securities
- To regulate the central government
What entities have regulatory jurisdiction under the Securities Contracts (Regulation) Act, 1956?
What entities have regulatory jurisdiction under the Securities Contracts (Regulation) Act, 1956?
- State governments only
- Central government and SEBI (correct)
- Central government only
- SEBI only
What is required for a stock exchange to gain recognition under the Securities Contracts (Regulation) Act, 1956?
What is required for a stock exchange to gain recognition under the Securities Contracts (Regulation) Act, 1956?
Where does organised trading activity in securities primarily take place as per the text?
Where does organised trading activity in securities primarily take place as per the text?
What must a depository do within one year of receiving the certificate of registration from SEBI?
What must a depository do within one year of receiving the certificate of registration from SEBI?
What is required for a depository to obtain a certificate of commencement of business from SEBI?
What is required for a depository to obtain a certificate of commencement of business from SEBI?
According to SEBI regulations, what is the required net worth for a depository to obtain a certificate of commencement of business?
According to SEBI regulations, what is the required net worth for a depository to obtain a certificate of commencement of business?
Which entity grants a certificate of commencement of business to a depository in India?
Which entity grants a certificate of commencement of business to a depository in India?
What is one of the key aspects considered by SEBI when granting a certificate of commencement of business to a depository?
What is one of the key aspects considered by SEBI when granting a certificate of commencement of business to a depository?
According to SEBI regulations, what is necessary to prevent manipulation of records and transactions by a depository?
According to SEBI regulations, what is necessary to prevent manipulation of records and transactions by a depository?
What replaced the term 'Beneficial Owner-Depository Participant Agreements' according to the SEBI Circular Ref.No.MIRSD/12/2013?
What replaced the term 'Beneficial Owner-Depository Participant Agreements' according to the SEBI Circular Ref.No.MIRSD/12/2013?
Which category is NOT eligible to sponsor a Depository for the grant of a certificate of registration?
Which category is NOT eligible to sponsor a Depository for the grant of a certificate of registration?
Which institution is required to hold at least 75% of the equity capital in a body corporate engaged in providing financial services to be eligible for sponsoring a Depository?
Which institution is required to hold at least 75% of the equity capital in a body corporate engaged in providing financial services to be eligible for sponsoring a Depository?
Which type of entity is NOT eligible to sponsor a Depository for certification?
Which type of entity is NOT eligible to sponsor a Depository for certification?
Which of the following entities is NOT considered eligible to sponsor a Depository for certification according to SEBI?
Which of the following entities is NOT considered eligible to sponsor a Depository for certification according to SEBI?
Who can sponsor a Depository for certification according to SEBI regulations?
Who can sponsor a Depository for certification according to SEBI regulations?
