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Securities Intermediaries Compliance (Non Fund) Free Demo Test 8

/10

Securities Intermediaries Compliance (Non Fund) Free Demo Test 8

1 / 10

1.

All buying and selling of securities and money transactions must be done using the authorized person’s name or account, not the trading member’s.

2 / 10

2.

Any breaches listed in Section 23 of the SCRA will result in a penalty of –

3 / 10

3.

Under SEBI (Debenture Trustees) Regulations, who among the following is eligible to apply for registration as a Debenture Trustee?

4 / 10

4.

Section 15A of the SEBI Act gives SEBI the authority to levy penalties for –

5 / 10

5.

Once the Trading Plan is approved, the compliance officer must inform the –

6 / 10

6.

The QRTAs must establish a mechanism to have ______ with the relevant mutual funds and issuer.

7 / 10

7.

The intermediary can define ______ for different types of client accounts and should closely monitor transactions that surpass these limits.

8 / 10

8.

Once approved, the trading plan cannot be changed, and the insider must follow through with its implementation.

9 / 10

9.

When there are multiple lead merchant bankers for an issue, the responsibilities of each of them must be submitted to SEBI, at least _______.

10 / 10

10.

All information maintained, provided, or verified, unless specified otherwise by current laws, must be kept confidential.

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