M.B.A. DEGREE EXAMINATION, APRIL 2016
Corporate Sec. ship
SECURITIES LAW AND REGULATION OF
FINANCIAL MARKETS
(2012 onwards)
Time 3 Hours Maximum 75 Marks
Part A 3 15)
Answer all the questions.
All questions carry equal marks.
1. What is meant by 'Securities'?
2. What is meant by a 'Stock Exchange'?
3. What is venture capital?
4. What do you mean by electronic trading in securities?
5. Who is a merchant banker?
Part B 10 50)
Answer all the questions, choosing either or
All questions carry equal marks.
6. Name the capital market players and narrate their
functions.
Or
How does the Depository System operate? Explain.
Sub. Code
622305
RW-10949
2
hp-ap1
7. List out the capital market instruments and bring
out their characteristics.
Or
Enumerate the significance of credit rating process
and explain their uses to investors.
8. Explain the recent developments that took place in
primary market in India.
Or
Bring out the regulations and code of conduct
enunciated by SEBI in connection with securities
market operations.
9. What is Demat and state its benefits.
Or
Elaborate the role of stock exchanges in Indian
capital market.
10. What is mutual fund? Explain the method of
operations of mutual funds in India.
Or
Describe the legal framework encompassing the
venture capital financing in India.
Part C 10 10)
(Compulsory)
11. Mr. Majumdar, in the capacity of director a public limited
company shared some information with his friends in
different occasions. The information, he shared were
within the purview of the following lines:
Periodical financial results of the company
Intended declaration of dividends (both interim and
final)
RW-10949
3
hp-ap1
Issue of securities or buy back of securities
Any major expansion plans or execution of new
projects.
Answer the followings
Which of the above information is deemed to
be price sensitive information and amounts to
insider trading?
Which of the above do not come under price
sensitive information.
Give reasons for your answer.