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Securities Intermediaries Compliance (Non Fund) Free Demo Test 4

/10

Securities Intermediaries Compliance (Non Fund) Free Demo Test 4

1 / 10

1. If there is _______, the price of the specific securities given to anchor investors cannot be less than the price offered to other applicants.

2 / 10

2.

The IT Strategy Committee will offer guidance and advice to the QRTAs Board of Directors on IT advancements and their alignment with investor services.

3 / 10

3.

The client can choose a Chartered Accountant (CA) to examine the portfolio manager’s financial records and transactions. The portfolio manager must cooperate with the CA during the audit.

4 / 10

4.

Rule 8 of SCRR outlines the regulations concerning –

5 / 10

5.

If a depository fails to address investors’ complaints even after being instructed by SEBI within a set timeframe, a penalty of ________ will be imposed.

6 / 10

6.

The report on meeting the increased reporting requirements must be submitted to SEBI after being reviewed by the QRTAs Board of Directors within ______ after the end of each calendar quarter.

7 / 10

7.

According to the SEBI (Debenture Trustee) Regulations, the registration certificate for a Debenture Trustee remains valid for _____ years.

8 / 10

8.

_______ is responsible for guiding the company in choosing underwriters.

9 / 10

9.

QRTAs must keep ______ with a center located at a different place than the main processing location.

10 / 10

10.

The penalty for engaging in fraudulent and unfair trade practices under Section 15 of the SEBI Act will not be less than five lakh rupees but may go up to –

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