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506B Legal Aspects of Finance and Security Laws

The document contains a 41 question exam on legal aspects of finance and security laws, with the questions covering topics like regulatory bodies, tax laws, company law concepts, and financial markets. It tests the examinee's knowledge on the Pension Fund Regulatory and Development Authority (PFRDA), Goods and Services Tax (GST), components of financial statements, types of shares and debentures, markets for securities, and more. The questions are either multiple choice or require short answers or matching.

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Manthan
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305 views2 pages

506B Legal Aspects of Finance and Security Laws

The document contains a 41 question exam on legal aspects of finance and security laws, with the questions covering topics like regulatory bodies, tax laws, company law concepts, and financial markets. It tests the examinee's knowledge on the Pension Fund Regulatory and Development Authority (PFRDA), Goods and Services Tax (GST), components of financial statements, types of shares and debentures, markets for securities, and more. The questions are either multiple choice or require short answers or matching.

Uploaded by

Manthan
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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Total No.

of
Questions:41 SEAT No.
P2104 Total No. of Pages : 2
5802 511
T.Y.B.B.A.
B 506:LEGALASPECTS OF
FINANCE& SECURITY LAWS
(CBCS 2019 Pattern) (Semester V) -

Time: 2% Hours
IMax. Marks : 50
Instructions to the candidates:-
1) Al questions are compulsory.
2) Figures to the right indicate full marks.

Q1) A) Select correct option and rewrite the sentence.


151
body was set up with an aim to promote, regulate and
develop the Pension sector in the country.
a) IRDA b) PFRDA
c) SEBI d)RB1

) RBI, SEBI, IRDA. AMC are


a) Regulatory bodies b)Intermediaries
c) Non- intermediaries d Organised markets

ii) iPO Stands for


a) Initial Preference Offering
b) Initial Private Offering
c) Initial Price Organisation
d) Initial Public Offering

iv) In India, GST became effective from:


a) 1April, 2017 b) I January. 2017
c ) I July, 2017 d) 1 March, 2017

v) What is known as charter of a company?


a) Memorandum of Association
b) Bye - laws

c) Articles of Association
d) Prospectus

PTO.
B) Match the pairs. 15
Group (A) CGroup (B)
a) Right Issues i) Goods are sold within a state
b) Money Market i) Financial Position
c) Balance sheet i) Doctrine of Constrictive Notice
d) Article of Association iv) Securities issued Privately to
investors
e) SGST v)RBI

Q2) Solve any one: 10


a) What is Indian Financial System? Discuss the structure of Indian financial
system.
b) Explain in detail "Procedure for Issue of various Types of shares and
Debentures".

Q3) Solve any one: 10


a) Define a company. Explain in detail characteristics of a company.

b) What is IEPF? Discuss the IEPF under SEBI regulations.

24) Write short Notes (any 4): 201


a) Functions of IRDA.
b) Employee stock option schcme.
c) Format of Income statement of a company.
d) Procedure of GST Reyistration.
e) Difference between Primary Market and Sccondary Market.
Types of Derivatives.

5802 511

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