Explain the following concept: Securities and Exchange Board of India (SEBI)

1 Answer

Answer :

Explain the following concept: Securities and Exchange Board of India (SEBI)

Related questions

Description : Securities and Exchange Board of India (SEBI) was formed in what year ?

Last Answer : Securities and Exchange Board of India (SEBI) was formed in 1988 .

Description : The capital issues of public limited companies are subject to guidelines issued by– (A) Reserve Bank of India (B) Central Government (C) Central Bank of India (D) Securities & Exchange Board of India (SEBI)

Last Answer : Answer: Securities amp; Exchange Board of India (SEBI)

Description : The basic aim of Securities and Exchange Board of India (SEBI) is to- (A) Develop an effective and efficient monitoring and control system for the Indian Capital Market (B) To help Bombay Stock Exchange ... To help National Stock Exchange of India Ltd. only (D) To help OTC Exchange of India only

Last Answer : Answer: Develop an effective and efficient monitoring and control system for the Indian Capital Market

Description : Which of the following apex body and regulators has asked banks to swap customer related information so that the frauds and defaults may be prevented in future? (A) Bombay Stock Exchange (BSE) (B) Indian Banks ... (IBA) (C) Securities Exchange Board of India (SEBI) (D) Reserve Bank of India (RBI)

Last Answer : Answer: Reserve Bank of India (RBI)

Description : Where is the Securities and Exchange Board of India located? -Do You Know?

Last Answer : answer:

Description : The business in Stock Markets and other securities markets is regulated - (1) Securities and Exchange Board of India (2) Sole Trade and Exchange Bank of India (3) State and Exchange Bank of India (4) Stock and Exchange Bank of India

Last Answer : (1) Securities and Exchange Board of India Explanation: As per the Securities and Exchange Board Of India (SEBI) Act, 1992, SEBI is responsible for protecting the interests of investors in ... is the duty of SEBI to regulate the business in stock exchanges and any other securities markets.

Description : SMERA has been registered under _______ A. Securities and Exchange Board of India Act, 1992 B. Reserve Bank of India Act, 1934 C. Banking Regulation Act, 1949 D. Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999 E. None of these

Last Answer : D. Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999 Explanation: SMERA has been registered under Securities and Exchange Board of India (Credit Rating Agencies) Regulations, 1999.

Description : A Credit Bureau is governed by _________ A. Securities and Exchange Board of India Act, 1992 B. Reserve Bank of India Act, 1934 C. Banking Regulation Act, 1949 D. Securities and Exchange ... of India (Credit Rating Agencies) Regulations, 1999 E. Credit Information Companies (Regulation) Act of 2005

Last Answer : E. Credit Information Companies (Regulation) Act of 2005 Explanation: A Credit Bureau is governed by the Credit Information Companies (Regulation) Act of 2005.

Description : Securities Appellate Tribunal is a/an __________ established under the provisions of Section 15K of the Securities and Exchange Board of India Act, 1992 A. Constitutional body B. Advisory body C. non-statutory body D. Statutory body E. None of the Above

Last Answer : D. Statutory body Explanation: Securities Appellate Tribunal is a statutory body established under the provisions of Section 15K of the Securities and Exchange Board of India Act, 1992 to hear and dispose of appeals against orders passed by the Securities and Exchange Board of India.

Description : The business in Stock Markets and other securities markets is regulated (1) Securities and Exchange Board of India (2) Sole Trade and Exchange Bank of India (3) State and Exchange Bank of India (4) Stock and Exchange Bank of India

Last Answer : Securities and Exchange Board of India

Description : Which of the following is the clearing agency for Government securities? A. RBI B. GOI C. CCIL D. SEBI E. None of the Above

Last Answer : C. CCIL Explanation: The CCIL is the clearing agency for Government securities. It acts as a Central Counter Party (CCP) for all transactions in Government securities by interposing itself between two counter parties.

Description : ________was constituted to protect the interests of investors in securities and to promote the development of and to regulate the securities market through appropriate measures. a. RBI b. SEBI c. BSE

Last Answer : b. SEBI

Description : All of the following are represented to the Financial Reporting Standards Council, except: a. Securities and Exchange Commission b. Bureau of Internal Revenue c. Commission on Higher Education d. Board of Accountancy

Last Answer : Commission on Higher Education

Description : The following are represented both to the Financial Reporting Standards Council (FRSC) and Auditing and Assurance Standards Council (AASC), except: a. Bangko Sentral ng Pilipinas b. Securities and Exchange Commission c. Bureau of Internal Revenue d. Board of Accountancy

Last Answer : Bureau of Internal Revenue

Description : Explain the following concept: Notice and Agenda of board meeting

Last Answer : Explain the following concept: Notice and Agenda of board meeting

Description : Explain the following concept: Board of Directors

Last Answer : Explain the following concept: Board of Directors

Description : Banking Code & Standards Board of India(BCSBI) set up by ________ A. SEBI B. Ministry of Finance C. RBI D. GOI

Last Answer : C. RBI Explanation: The Banking Codes and Standards Board of India (BCSBI) is an independent banking industry watchdog that protects consumers of banking services in India. The board oversee compliance with the ―Code of Bank‘s Commitment to Customers‖

Description : Dalal Street in Mumbai is famous for which of the following? A. NABARD B. Stock Exchange C. RBI D. SEBI

Last Answer : B. Stock Exchange Explanation: The Bombay Stock Exchange (BSE) is located at Dalal Street.

Description : Which of the following is a function of SEBI? A. to approve by−laws of stock exchanges. B. inspect the books of accounts of financial intermediaries. C. to require the stock exchange to amend their ... compel certain companies to list their shares in one or more stock exchanges. E. All of the Above

Last Answer : E. All of the Above Explanation: Function of SEBI: To approve by−laws of stock exchanges. Inspect the books of accounts of financial intermediaries. To require the stock exchange to amend their by−laws. Compel certain companies to list their shares in one or more stock exchanges.

Description : The maximum load that a fund can exchange is determined by ________ a. SEBI b. RBI c. AMFI

Last Answer : a. SEBI

Description : Which Stock Exchange was the first to introduce a transparent, screen-based trading system in the wholesale debt market including govt. securities in 1994 ? (A) Bombay Stock Exchange (B) Delhi Stock Exchange (C) National Stock Exchange (D) Jaipur Stock Exchange

Last Answer : Answer: National Stock Exchange

Description : Which of the following is done at a Stock Exchange? (1) Commodities are bought and sold at wholesale price (2) Commodities are bought and sold at retail price (3) Securities are bought and sold (4) None of these

Last Answer : (3) Securities are bought and sold Explanation: A stock exchange or bourse is an exchange where stock brokers and traders can buy and/or sell stocks (also called shares), bonds, and ... of securities and other financial instruments, and capital events including the payment of income and dividends.

Description : Privity of contract exists between the a. Auditor and the Securities and Exchange Commission. b. Auditor and client. c. Auditor and third parties. d. All of the above

Last Answer : Auditor and client

Description : An extensive understanding of the client's business and industry and knowledge about the company's operations are essential for doing an adequate audit. For a new client, most of this information is obtained ... . From the predecessor auditor. c. From the permanent file. d. At the client's premises

Last Answer : At the client's premises

Description : An extensive understanding of the client's business and industry and knowledge about the company's operations are essential for doing an adequate audit. For a new client, most of this information is obtained ... From the predecessor auditor. c. From the permanent file. d. At the client's premises.

Last Answer : At the client's premises.

Description : Privity of contract exists between the a. Auditor and the Securities and Exchange Commission. b. Auditor and client. c. Auditor and third parties. d. All of the above

Last Answer : Auditor and client

Description : The responsibility for the fairness of the financial assertions that are embodied in the financial statements and in the notes to the financial statements rests: a. With the audit committee. ... management. c. With Securities and Exchange Commission. d. Equally with management and the stockholders

Last Answer : With management

Description : Auditing standards are a. Statutory in nature. b. Rules imposed by the Securities and Exchange Commission. c. General guidelines to help auditors. d. Rules imposed by the PICPA

Last Answer : General guidelines to help auditors

Description : Which of the following is not explicitly referred to in the Code of Ethics as source of technical standards? a. Commission on Audit (COA) b. Auditing and Assurance Standards Council (AASC) c. Securities and Exchange Commission (SEC) d. Relevant legislation

Last Answer : Commission on Audit (COA)

Description : The criteria for evaluating quantitative information vary. For example, in the audit of historical financial statements by CPA firms, the criteria are usually: a. Generally accepted auditing ... Regulations of the Securities and Exchange Commission d. Regulations of the Bureau of Internal Revenue

Last Answer : Acceptable financial reporting framework

Description : Because an external auditor is paid a fee by a client company, he a. Is absolutely independent and may conduct an audit. b. May be sufficiently independent to conduct an audit. c. Is ... to be independent. d. Must receive approval of the Securities and Exchange Commission before conducting an audit.

Last Answer : May be sufficiently independent to conduct an audit.

Description : The market for auditing services is driven by a. Congress at the state level b. A demand by external users of financial statements c. The regulatory authority of the Securities and Exchange Commission d. Pronouncements issued by the Auditing Standards and Practices Council

Last Answer : A demand by external users of financial statements

Description : The criteria for evaluating quantitative information vary. For example, in the case of an independent audit of financial statements by CPA firms, the criteria are usually the: a. ... Financial Reporting Standards c. National Internal Revenue Code d. Securities and Exchange Commission Regulations

Last Answer : Philippine Financial Reporting Standards

Description : The market for auditing services is driven by a. The regulatory authority of the Securities and Exchange Commission. b. A demand by external users of financial statements. c. Pronouncements issued by the Auditing and Assurance Standards Council. d. Congress.

Last Answer : A demand by external users of financial statements.

Description : Which of the following is near money? (a) Bill of exchange ; (b) Saving bonds ; (c) Gilt edged securities ; (d) All the three

Last Answer : (d) All the three 

Description : Which of the following is done at a Stock Exchange ? (1) Commodities are bought and sold at wholesale price (2) Commodities are bought and sold at retail price (3) Securities are bought and sold (4) None of these

Last Answer : Securities are bought and sold

Description : Explain the following concept: National Company Law Appellate Tribunal (NCLAT)

Last Answer : Explain the following concept: National Company Law Appellate Tribunal (NCLAT)

Description : Explain the following concept: National Company Law Tribunal (NCLT)

Last Answer : Explain the following concept: National Company Law Tribunal (NCLT)

Description : Explain the following concept: Registrar of Companies (ROC)

Last Answer : Explain the following concept: Registrar of Companies (ROC)

Description : Explain the following concept: Ministry of Corporate Affairs (MCA)

Last Answer : Explain the following concept: Ministry of Corporate Affairs (MCA)

Description : Explain the following concept: Stop payments of cheque

Last Answer : Explain the following concept: Stop payments of cheque

Description : Explain the following concept: Cash Credit

Last Answer : Explain the following concept: Cash Credit

Description : Explain the following concept: Savings Deposits

Last Answer : Explain the following concept: Savings Deposits

Description : Explain the following concept: Time Deposits

Last Answer : Explain the following concept: Time Deposits

Description : Explain the following concept: Demand Deposits

Last Answer : Explain the following concept: Demand Deposits

Description : Explain the following concept: Bank

Last Answer : Explain the following concept: Bank

Description : Explain the following concept: Advances

Last Answer : Explain the following concept: Advances

Description : Explain the following concept: Loans

Last Answer : Explain the following concept: Loans

Description : Explain the following concept: Fixed Deposits

Last Answer : Explain the following concept: Fixed Deposits

Description : Explain the following concept: Recurring Deposits

Last Answer : Explain the following concept: Recurring Deposits