Exam Details
| Subject | securities laws and regulation of financial markets | |
| Paper | ||
| Exam / Course | m.b.a. in corporate secretaryship | |
| Department | ||
| Organization | alagappa university | |
| Position | ||
| Exam Date | November, 2017 | |
| City, State | tamil nadu, karaikudi |
Question Paper
M.B.A. DEGREE EXAMINATION, NOVEMBER 2017
Third Semester
Corporate Secretaryship
SECURITIES LAWS AND REGULATION OF FINANCIAL
MARKETS
(CBCS 2013 onwards)
Time 3 Hours Maximum 75 Marks
Section A x 3 15)
Answer all the questions.
All questions carry equal marks.
1. Distinguish between stripping and reconstitution.
2. What is call money market?
3. Discuss the role of registrar in pre-issue.
4. Describe any three types of speculative transaction that
can take place on a stock exchange?
5. What is venture capital?
Section B 10 50)
Answer all the questions, choosing either or
All questions carry equal marks.
6. Briefly describe the functions of securities market.
Or
What are the powers and functions of SEBT?
Discuss elaborately?
Sub. Code
622305
RW-821
2
Sp 1
7. What are the capital market instruments? Explain.
Or
Analyze the main factors that affect investors'
interest.
8. Write an essay on the functions of new issue
market?
Or
Who are debenture trustee? Discuss the role and
responsibilities of debenture trustee.
9. Classify the brokers and explain their functions.
Or
Describe the procedure for online trading and bring
out its merits.
10. Discuss the scope of Venture Capital in India and
give suggestions for the success of Venture Capital
in India.
Or
Explain the methodology followed by CRISIL in
rating credit instruments.
Section C 10 10)
Compulsory
11. Zen Securities Limited is among the leading
financial services companies in India offering Financial
and Investment related services and products. ZSL
started operations in 1986 and today has a strong
customer base of over 50000 customers across India.
Some of the services offered by ZSL include investment
advisory services; trading in cash market of NSF and
RW-821
3
Sp 1
BSE; trading in Futures and Options on NSF and BSE:
internet trading in stocks, trading in commodities on.
MCX and NCDEX portfolio management and other
financial services. Once ZSL started catering to
customers from the farthest corners of India, customers
started requesting online trading facilities for easier
trading. ZSL had to build the entire technology, right
from scratch.
Were they successful in introducing online trading?
Did ZSL need to satisfy the customers expectation
or to drop the idea of online tratding? substantiate
your answer.
——————
Third Semester
Corporate Secretaryship
SECURITIES LAWS AND REGULATION OF FINANCIAL
MARKETS
(CBCS 2013 onwards)
Time 3 Hours Maximum 75 Marks
Section A x 3 15)
Answer all the questions.
All questions carry equal marks.
1. Distinguish between stripping and reconstitution.
2. What is call money market?
3. Discuss the role of registrar in pre-issue.
4. Describe any three types of speculative transaction that
can take place on a stock exchange?
5. What is venture capital?
Section B 10 50)
Answer all the questions, choosing either or
All questions carry equal marks.
6. Briefly describe the functions of securities market.
Or
What are the powers and functions of SEBT?
Discuss elaborately?
Sub. Code
622305
RW-821
2
Sp 1
7. What are the capital market instruments? Explain.
Or
Analyze the main factors that affect investors'
interest.
8. Write an essay on the functions of new issue
market?
Or
Who are debenture trustee? Discuss the role and
responsibilities of debenture trustee.
9. Classify the brokers and explain their functions.
Or
Describe the procedure for online trading and bring
out its merits.
10. Discuss the scope of Venture Capital in India and
give suggestions for the success of Venture Capital
in India.
Or
Explain the methodology followed by CRISIL in
rating credit instruments.
Section C 10 10)
Compulsory
11. Zen Securities Limited is among the leading
financial services companies in India offering Financial
and Investment related services and products. ZSL
started operations in 1986 and today has a strong
customer base of over 50000 customers across India.
Some of the services offered by ZSL include investment
advisory services; trading in cash market of NSF and
RW-821
3
Sp 1
BSE; trading in Futures and Options on NSF and BSE:
internet trading in stocks, trading in commodities on.
MCX and NCDEX portfolio management and other
financial services. Once ZSL started catering to
customers from the farthest corners of India, customers
started requesting online trading facilities for easier
trading. ZSL had to build the entire technology, right
from scratch.
Were they successful in introducing online trading?
Did ZSL need to satisfy the customers expectation
or to drop the idea of online tratding? substantiate
your answer.
——————
Other Question Papers
Subjects
- company accounts and auditing practices
- company law and practice – i
- company law and practice – ii
- corporate compliance management
- direct tax laws
- economic and other legislations
- general laws
- securities laws and regulation of financial markets