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Law School Financial Regulation Guide

This document contains a question bank with multiple choice and short answer questions relating to financial market regulation and competition law. It covers topics such as dematerialization of securities, shares and debentures, predatory pricing, dominant position, depository participants, mergers, capital account transactions, and more. Longer answer questions require discussion of topics such as the evolution of stock exchanges, the test for analysis of mergers, interface between intellectual property rights and competition law, and the roles and responsibilities of depositories, depository participants, issuers and beneficial owners.

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Amudha Mony
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192 views2 pages

Law School Financial Regulation Guide

This document contains a question bank with multiple choice and short answer questions relating to financial market regulation and competition law. It covers topics such as dematerialization of securities, shares and debentures, predatory pricing, dominant position, depository participants, mergers, capital account transactions, and more. Longer answer questions require discussion of topics such as the evolution of stock exchanges, the test for analysis of mergers, interface between intellectual property rights and competition law, and the roles and responsibilities of depositories, depository participants, issuers and beneficial owners.

Uploaded by

Amudha Mony
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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SAVEETHA SCHOOL OF LAW

LAW RELATING TO FINANCIAL MARKETING REGULATION AND COMPETITION LAW

QUESTION BANK

PART – A (4 Marks)

Write short notes on

1. Dematerialization of Securities.
2. Shares & Debentures
3. Predatory Pricing.
4. Discriminatory Pricing
5. Dominant Position.
6. Beneficial Owner.
7. Collector
8. Confiscation
9. Securities
10. Recognized Stock Exchange
11. Depository Participants
12. Mergers.
13. Capital Account Transactions.
14. Authorized Person.
15. Registration of Stock Brokers.

PART – B (6 Marks)

1. Distinguish between MRTP & Competition Act.


2. Discuss the Evolution of Stock Exchanges.
3. Write short notes on
a)Bombay Stock Exchange
b) National Stock Exchange.
4. Discuss the test for analysis of Merger.
5. Discuss the interface between IPR and Competition Law.
6. What are the rights and obligation of Depositories, Depository Participants, Issues and
Beneficial Owners?
7. Write a note on Management of SEBI.
8. Explain how the Central Government can suspend the business of Stock Exchange under the
SCRA.
9. Write a short note on ‘Powers of SEBI under the Securities Contracts (Regulation), Act,
1956.
10. Discuss the powers of Recognized Stock Exchange to make bye-laws.
11. Define the terms ‘Stock Exchange’ and ‘Recognised Stock Exchange’. Is there any prohibition
on formation of an unrecognized Stock Exchange?
12. What do you understand by essential Commodities? What are the commodities termed as
essential commodities under the Essential Commodities Act?
13. Write short notes on:-
i) Registration of Stock Brokers
ii) Share Transfer Agents

PART – C (13 Marks)

1. Explain the procedure, powers & function of the securities appellate. Tribunal under
SEBI Act, 1992.
2. Explain the provisions relating to regulation of Combinations under the Competition Act,
2002.
3. Enumerate the various penalties which can be imposed under the SEBI, Act, 1992 for
various failures, defaults, non disclosure and other offences.
4. Discuss the powers of the CCI, to enquire into agreements and dominant position of
enterprise, under theCompetition Act, 2002.
5. Discuss the establishment, composition & term of office of the chairperson & other
members of Competition Commission under the Competition Act, 2002.
6. There is difference in seizure & confiscation of commodities under the Act. How can the
sale proceeds of confiscated commodities be utilized? What is the procedure for
disposal of confiscated goods?
7. Define ‘Securities’. Discuss the evolution and relevance of Stock Exchanges.
8. Discuss the powers of SEBI and Appeal to Securities appellate Tribunal and Supreme
Court under The Depositories Act, 1996.
9. Explain the composition and procedure of hearing appeals by the Appellate Tribunals
under SEBI Act, 1992.
10. Define the term ‘Depositories’, ‘Beneficial Owner’ and ‘Depository Participants’. What a
short note on Certificate of Commencement of business under the Depositories Act.

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