ICSI Securities Law and Compliance Solved Question Paper Dec 2013

ICSI Securities Law and Compliance Solved Question Paper Dec 2013
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ICSI Securities Law and Compliance Solved Question Paper Dec 2013

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Chapter - 1 An Overview of Legal Regulatory Framework 2013 - June 5 b Insider trading generally means trading in the share of a company by the persons who are in the management of the company or are close to them on the basis of undisclosed price sensitive information regarding the working of a company, which they process but which is not available to others. Section 15 G of SEBI Act, 1992 lays down that if any insider i either on his own behalf or on behalf of any other person, deals in securities of a body corporate listed on any stock exchange on the basis of any unpublished price sensitive information or ii communicates any unpublished price sensitive information to any person, with or without his request for such information except as required in the ordinary course of business or under any law or iii counsels, or procures for any other person to deal in any securities of any body corporate on the basis of unpublished price sensitive information. He shall be liable to a penalty of twenty five crore rupees or three times the amount of profits made out of insiders trading, whichever is higher. Chapter - 3 Capital Market Instrument 2013 - June 4 a , b i a Rule 3 of Companies Issue of Share Capital with Differential Voting Rights Rules, 2001, enables companies limited by shares to issue shares with differential rights as to dividend, voting or otherwise, subject to fulfillment of the following conditions -
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Appendix CS Executive Programme Module-II Paper 6
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ii iii iv v vi vii b i
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The company has distributed profits in terms of section 205 of the Companies Act, 1956 for preceding 3 financial years preceding the year in which it was decided to issue such shares. The company has not failed to repay its deposits or interest thereon due date or redeems its debentures on due date or pay dividend. The company has not defaulted in meeting investors grievances. The company has not been convicted of any offence arising under SEBI Act 1992, FEMA, 1999, SCRA, 1956. The holder of the equity shares with differential voting rights shall enjoy all other rights to which the holder is entitled to except the differential rights. The share with differential voting rights shall not exceed 25 of the total share capital issued.