Advertisements
Advertisements
प्रश्न
State any five regulatory functions of the Securities and Exchange Board of India.
State any three regulatory functions of Securities and Exchange Board of India.
State any one Regulatory Function of SEBI.
State any three ‘Regulatory functions’ of Securities and Exchange Board of India.
Advertisements
उत्तर
Regulatory Functions of Securities and Exchange Board of India:
- Registration of brokers and sub-brokers and other players in the market.
- Registration of collective investment schemes and Mutual Funds.
- Regulation of stockbrokers, portfolio exchanges, underwriters and merchant bankers and the business in stock exchanges and any other securities market.
- Regulation of takeover bids by companies.
- Calling for information by under-taking inspection, conducting enquiries and audits of stock exchanges and intermediaries.
- Levying a fee or other charges for carrying out the purposes of the Act.
- Performing and exercising such power under the Securities Contracts (Regulation) Act 1956, as may be delegated by the Government of India.
Notes
Students should refer to the answer according to their question and preferred marks.
APPEARS IN
संबंधित प्रश्न
Mr. Sanjay Nehra was the Chairman of 'Taran Bank.' The bank was earning good profits. Shareholders were happy as the bank was paying regular dividends. The market price of their shares was also steadily rising. The bank was about to announce taking over of 'Vena Bank.' Mr. Sanjay Nehra knew that the share price of 'Taran Bank' would rise on this announcement. Being a part of the bank, he was not allowed to buy shares of the bank. He called one of his rich friends Sudhir and asked him to invest Rs 5 crores in shares of his bank promising him the capital gains. As expected the share prices went up by 40% and the market price of Suhir's shares was now Rs 7 crores. He earned a profit of Rs 2 crores. He gave Rs 1 crore to Mr. Sanjay Nehra and kept Rs 1 crore with himself. On regular inspection and by conducting enquiries of the brokers involved, Securities and Exchange Board of India (SEBI) was able to detect this irregularity. The SEBI imposed a heavy penalty on Mr. Sanjay Nehra.
By quoting the lines from the above para identify and state any two functions that were performed by SEBI in the above case.
Mr. Aditya Gupta was the chairman of ‘Vandan Bank’. The Bank was earning good profits. Shareholders were happy as the bank was paying regular dividends. The market price of their shares was also steadily rising. The bank announced taking over of ‘Karur Bank’. Aditya Gupta knew that the share price of Vandan Bank would rise on this announcement. Being a part of the bank, he was not allowed to buy shares of the bank. He called one of his rich friends Nimesh and asked him to invest Rs 6 crores in the shares of his bank promising him the capital gain.
As expected, the share prices went up by 40% and the market price of Nimesh’s shares was now Rs 8.4 crores. He had earned a profit of Rs 2.4 crores. He gave Rs 1.2 crore to Mr. Aditya Gupta and kept Rs 1.2 crore with him. On regular inspection and by conducting enquiries of the brokers involved, Securities and Exchange Board of India (SEBI) was able to detect this irregularity. SEBI imposed a heavy penalty on Aditya Gupta. By quoting the lines from the above para identify and state any two functions that were performed by SEBI in the above case.
India’s largest domestic investor Life Insurance Corporation of India has once again come to government’s rescue by subscribing 70% of Hindustan Aeronautics Rs.4,200-crore initial public offering.
a. Which market is being reflected in the above case?
b. State which method of floatation in the above identified market is being highlighted in the case? (Primary Market)
c. Explain any two other methods of floatation. (Private Placement, Offer through prospectus, offer for sale).
Lalita wants to buy shares of Akbar Enterprises, through her broker Kushvinder. She has a Demat Account and a bank account for cash transactions in the securities market. Discuss the subsequent steps involved in the screen-based trading for buying and selling of securities in this case.
Answer each of these questions in about fifteen words:
What is SEBI?
Answer each of these questions in about fifteen words:
When was SIDBI established?
Select the correct answer from the options given below and rewrite the statement.
________ regulates the functioning of Stock Exchange in India.
Write a word or a term or a phase which can substitute for the following:
Regulator of securities market in India.
State whether the statement is true or false:
SEBI protects the interest of investors in securities market.
Select the correct option form the bracket.
| Group ‘A’ | Group ‘B’ |
| Regulator of Securities Market | ______________ |
Attempt the following:
Write a reply to a complaint by an investor
What are the objectives of the SEBI?
Which of the following is the regulatory function of SEBI?
Which of the following is the development function of SEBI?
What are the protective function of SEBI?
Under which method, the securities are sold only to some selected individuals and big institutional investors rather than to the public.
Who among the following is the Chairman of SEBI as of August 2018
Which of the following can be a depository participant (DP)?
______ is an institution or organisation, which holds securities in electronic form, in which trading is done.
Rishu's friend Devina works as a Finance Manager in Perfect Solutions Ltd. Devina in a meeting with the directors of the company came to know that the firm would soon be declaring a bonus issue which would lead to an increase in the price of shares. On this basis, Devina advised Rishu to purchase the shares of Perfect Solutions Ltd., who thus bought the shares. SEBI can control malpractices like these through which of the following functions:
The Securities and Exchange Board of India was established by the Government of India and was given a statutory status in ______.
Which of the following is/are the 'Developmental Functions' of Securities and Exchange Board of India?
Of the following sources of funds, ______ are Owner's Funds.
______ debt-equity ratio is preferred by the commercial banker over the years as it indicates financial strength of a unit.
State any three objectives of the Securities Exchange Board of India.
Which of the following is not a function of Securities and Exchange Board of India (SEBI)?
SEBI regulates the securities market in India.
