10 Questions
What is the purpose of Chapter IV in the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
To specify the procedure for inspection by the Board
Which section was omitted by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009?
Section 36-43
What is the purpose of Form C in Schedule I of the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Omitted by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009.
What is the main focus of the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Regulation of merchant banking activities
What does Section 28A of the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992 address?
Appointment of compliance officer
What is the criteria for determining a 'fit and proper person' as per the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Experience in the securities market
Which regulation pertains to the capital adequacy requirement for merchant bankers under the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Chapter I: Preliminary
What is the consequence of failure to pay the required fee for registration under the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Cancellation of registration
Under which regulation is the code of conduct specified for merchant bankers according to the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Chapter III: General obligations and responsibilities
What is the obligation related to the submission of half-yearly results for merchant bankers under the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992?
Submission within 30 days from the end of each half year
Study Notes
Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992
- The purpose of Chapter IV is to specify the requirements for registration of merchant bankers.
Registration and Eligibility
- Section 28A addresses the criteria for determining a 'fit and proper person' for registration as a merchant banker.
- The criteria include integrity, reputation, and fairness in business dealings.
Capital Adequacy
- Regulation 7 pertains to the capital adequacy requirement for merchant bankers.
Registration Fees and Obligations
- Failure to pay the required fee for registration results in refusal or rejection of the application.
- Merchant bankers are obligated to submit half-yearly results.
- Form C in Schedule I is used for submitting half-yearly results.
Code of Conduct
- The code of conduct for merchant bankers is specified in Regulation 14.
Amendments and Omissions
- Section 2A was omitted by the Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009.
Test your knowledge of the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992. This quiz covers the contents and provisions outlined in the regulations, including registration requirements and capital adequacy criteria.
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