Paper III-C

Law of Investments and Securities — question papers

Syllabus topics

Question papers

August 2021 · 16 questions
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October 2020 · 16 questions
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July/August 2019 · 16 questions
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May/June 2017 · 16 questions
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June (New) 2014 · 16 questions
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May/June (Old) 2014 · 16 questions
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January (5-YDC) 2012 · 16 questions
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July/August 2012 · 16 questions
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May/June 2011 · 16 questions
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May/June 2010 · 16 questions
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Questions by frequency and marks

Same question across years counts once; frequency is how many papers it appears in.

Marks Question Years Frequency
6 Stock Exchanges. 2020, 2019, 2014, 2012, 2010 5×
6 NBFC's. 2021, 2014, 2012 4×
6 Floating Charge. 2017, 2012, 2011 3×
6 Investment in other companies. 2012, 2010 3×
6 Investors Protection. 2019, 2017, 2012 3×
6 Transfer of Shares. 2012, 2011 3×
6 What is demutualization? 2020, 2019 2×
6 What is a depository? 2021, 2019 2×
6 Interim Dividend. 2012, 2010 2×
6 Listing of Securities. 2017, 2012 2×
6 Prospectus. 2012, 2011 2×
6 Provisional Contracts. 2017, 2014 2×
6 Redeemable Debentures. 2012, 2010 2×
6 Reserve Capital. 2017, 2014 2×
6 SEBI Appellate Tribunal. 2012, 2011 2×
6 SEBI. 2021, 2012 2×
6 Transmission of Shares. 2021, 2019 2×
15 Briefly discuss the evolution, growth and functions of the Financial System in India. 2020, 2014 2×
15 Explain the powers and functions of the SEBI. 2020, 2014 2×
6 Badla. 2020 1×
6 Bonus Shares. 2017 1×
6 Calls and Forfeiture. 2014 1×
6 Composition of SEBI. 2014 1×
6 Derivatives. 2020 1×
6 Dividends. 2012 1×
6 Doctrine of Indoor Management. 2014 1×
6 Equity Shares. 2011 1×
6 Foreign Currency Convertible Debentures. 2011 1×
6 Fungibility. 2021 1×
6 Future contracts. 2020 1×
6 Global Depository Receipts. 2011 1×
6 What is hybrid security? 2019 1×
6 Inter Connected Stock Exchange of India. 2011 1×
6 Intercorporate Loans. 2014 1×
6 Interest rate of swaps. 2020 1×
6 Intermediatories. 2014 1×
6 What is investment risk? 2019 1×
6 Issued Capital. 2014 1×
6 Online Trading. 2014 1×
6 Pre-Incorporation Contracts. 2014 1×
6 Primary Market. 2017 1×
6 Promoter. 2014 1×
6 Public Company. 2014 1×
6 Pure & Hybrid Derivatives. 2020 1×
6 Redeemable Preference Shares. 2010 1×
6 Registration of Mortgages by a Company. 2010 1×
6 SARS. 2021 1×
6 SAT. 2019 1×
6 Secondary Market. 2020 1×
6 Secured Premium Notes. 2010 1×
6 Share Capital. 2012 1×
6 Statement in Lieu of Prospectus. 2010 1×
6 Sweat Equity Shares. 2014 1×
6 TER. 2021 1×
6 Undesirable transactions. 2017 1×
6 Venture Capital. 2021 1×
10 Ajay Ltd. borrowed Rs. 100 crore from Prem, without the authority conferred on it by the articles of association. Later, the money borrowed by Ajay Ltd. was used by its Board of Directors to pay off lawful debts of the company. In this scenario, Prem, the lender, seeks your advice for recovery of his money. Advise him. 2014 1×
10 Amar subscribed for shares issued by Fast Trak Ltd. The prospectus of Fast Trak Ltd. included a statement which was misleading in its forms and contents. On the faith of the prospectus, believing it to be true, Amar subscribed for shares and sustained a loss. Can Amar sue for compensation of loss? If so, who will be sued for such loss? 2014 1×
10 X was bearer of a debenture of Y Company. He transferred the same to Y. The Company Y refused to pay the amount with interest to him. Whether Y can claim it. 2021 1×
10 Board of Directors of a company in a meeting resolved to declare an Interim Dividend and later passed a resolution rescinding the earlier resolution. One shareholder argues that it amounted to a debt enforceable against the company. Can he succeed? 2010 1×
10 Can a subsidiary company hold shares in its holding company? S Ltd held shares of H Ltd. before becoming its subsidiary. Will it be necessary for S Ltd to surrender those shares on becoming a subsidiary of 'H' Ltd.? 2017 1×
10 Coimbattore Stock-Exchange wants to admit a partnership firm as a member. Can it do so? 2010 1×
10 A company borrowed a sum of money against all its machinery, stock in trade and movables, present and future. The possession of the properties was actually given to the lender. The other creditors argue that it is a fixed charge. Do they succeed? 2011 1×
10 A company created a charge on 'all its assets including machinery etc., now lying or that may be brought hereafter until payment' in favour of an institution to secure payment of a loan taken by it from the institution. It was argued by the other creditors that it was only a fixed charge. Will they succeed? 2010 1×
10 A company created a charge on its total assets, including machinery existing or that which may be bought hereafter, until payment, in favour of an institution for securing payment of a loan taken by it from the institution. However, the other creditors have termed it as only a fixed charge. Examine whether they will legally succeed. 2012 1×
10 A company forfeited the shares of a shareholder because he made derogatory remarks against the Board of Directors in a public meeting. Can it do so? 2011 1×
10 A company forfeited the shares of a shareholder because he made some derogatory statements against the board of directors of the company in a public meeting. Examine whether the company is legally entitled to do so. 2012 1×
10 A company was in great need of further capital. The majority, representing 98% of the share capital, were willing to provide the capital if they could buy up the two percent minority. The majority passed a resolution altering the articles and enabling them to purchase the minority shares. Examine the legality of the alteration. 2012 1×
10 'X' company lends 'Y' Co. money on a mortgage of its assets. The procedure laid down in the Articles for such transactions is not complied with. The directors of the Z Co. are the same. Is the mortgage binding upon 'Y' Co.? 2019 1×
10 X is a debenture holder of Y Company but the company went into losses and was declared insolvent. Advise what to do. Note. 2021 1×
10 A debenture holder in a company was keen on inspecting the company's debenture Trust Deed and the 'register of members' and debenture holders and taking copies of them. Is it possible to legally do so? 2012 1×
10 A debenture holder in a company wanted to inspect the company's (a) Debenture Trust Deed, and (b) Register of Members and Debenture-Holders, and to take copies of them. Can he do so? 2010 1×
10 Dinesh, one of the joint holders of shares of a company, sent a requisition to the company to split the shares equally amongst him and the other joint holders, by issuing fresh share certificates. State whether the company is bound to comply with this requisition. 2017 1×
10 The Directors of a company received money on the sale of their shares, more than the money received by the other selling shareholders. The Directors held controlling stock of shares. The other shareholders are claiming that the directors hold the extra money in trust for the selling shareholders. Can they succeed in their claim? 2011 1×
10 The directors of a company received money on the sale of their shares which was more than the money received by the other shareholders who sold their shares. The directors held the controlling stock of shares. The other shareholders claimed that the directors hold the extra money in trust for the selling shareholders. Is their claim legally justified? 2012 1×
10 'A' and 'B', a firm of stock-brokers, bought shares which were registered in the name of their clerk 'C'. The company went into liquidation. The liquidator applied to the court that the names of 'A' and 'B' be substituted for that of 'C' in the list of members and the list of contributories. Is the liquidator entitled to succeed? 2011 1×
10 'X' holds 100 partly paid up shares of PQR Ltd. 'X' wants to transfer these partly paid up shares to 'Z'. Advise 'X' about the formalities to transfer these shares in the name of 'Z'. 2012 1×
10 'X', an intending shareholder, wants to start share business by opening a D-MAT account in a Nationalized Bank. What are the steps and requirements to open a D-MAT Account in the Bank? 2014 1×
10 'X' Ltd company issued an IPO to the general public and 'Y' wants to take 1000 shares in the company. Advise him on becoming a member in the company. Discuss. 2020 1×
10 'X' Ltd company wants to go for listing with the B.S.E. Explain the procedure and advise 'X' on listing the company with BSE. 2014 1×
10 X Ltd has received a letter from Murthy informing purchase of 1,000 equity shares of the company through his broker, but the transfer deeds have been misplaced in transit. Advise on the procedure for effecting transfer of shares in such a case. 2017 1×
10 A Malaysian diplomat entered into an agreement with a real estate company in India to purchase NonAgricultural land near Hyderabad to establish a laboratory. Explain the legal requirement. 2020 1×
10 Mary Gold Ltd., a listed company, decides to make a public issue of equity shares. Explain briefly the eligibility norms to be complied with by the company as prescribed under the SEBI guidelines. 2014 1×
10 Mohan, an Indian citizen resident outside India, intends to acquire shares in a MNC company. Explain the legal position. 2020 1×
10 'X' mortgaged his share certificate to SBH, O.U. branch, for a loan amount. Then 'X' became a defaulter and his name was listed on the N.P.A. Explain steps to solve the problem. 2014 1×
10 The name of 'X' is found entered in the register of a company. But X contends that he is not a member of the company. The company maintains that 'X' had orally agreed to become a member and so his name was entered in the register. Is the contention of the company valid? Discuss. 2012 1×
10 In a private company, after the death of Mr. 'X', the entire capital of the company is held by his son 'Y'. Decide whether 'Y' can continue the business of the Co. with a single shareholder. 2012 1×
10 'P' is a private limited company, run by a limited group of people. After some years 'P' Pvt. Ltd. company converts into a Public Ltd. company. What are the steps involved for conversion? 2014 1×
10 A Public Limited Company is interested in sending machinery outside India on lease terms. Advise in the light of FEMA. 2019 1×
10 Ramu Ltd. has subscribed capital of Rs. 50,000/-. It holds 1,000 shares of Rs. 100 each in XY Ltd. and 500 shares of Rs. 10 each in AB Ltd. It wants to purchase some shares in EF Ltd. How many shares of Rs. 100 each can XY Ltd. purchase in EF Ltd.? 2020 1×
10 Ramu subscribed for shares issued by 'X' Ltd. The prospectus of 'X' Ltd. included a statement which was misleading in the forms and contents. On the basis of the prospectus, believing it to be true, Ramu subscribed for shares and sustained a loss. Can Ramu sue for compensation of loss? If so, who will be sued for such loss? 2017 1×
10 Ratnakar Ltd. wants to make a first call of Rs. 30 on equity shares of nominal value of Rs. 100 each on 16th October, 2013. Can it do so? Further, if the company proposes to make a second call on 7th November, 2013, will it be permitted to do so? 2014 1×
10 X is the shareholder of Y Company. X insures the Steel Company in his own name. The Company is destroyed by fire. Can X recover the loss? 2021 1×
10 Three Singapore nationals who have never been to India have decided to be the shareholders holding 100% equity shares and the only directors of a private company in India in the year 2017 which is not a subsidiary of a Public company. Comment. 2019 1×
10 'A', a trader, carried on business under the name of 'A's Co. Ltd.' without being registered as a company with limited liability. Decide the consequences of the act of A. 2019 1×
10 When a shareholder of 'X' Company delegates the right to vote at an AGM to another person, what is the legality? 2021 1×
15 Explain the administration of a company in relation to issue of prospectus to the general public. 2014 1×
15 Explain the advantages of the depository system in India. 2017 1×
15 Explain the basic features of the Securities Contracts (Regulation) Act. 2014 1×
15 Discuss in brief the guidelines issued by SEBI for protection of the interest of debenture-holders. 2011 1×
15 Explain in brief the various powers of RBI to regulate NBFC's. 2011 1×
15 Discuss briefly the classification and the law relating to NBFC's. 2012 1×
15 Explain the characteristics and objectives of investments. 2021 1×
15 Explain the concepts of 'Corporatization' and demutualization and discuss the procedure for corporatization and demutualization under the SC(R) Act, 1956. 2019 1×
15 Explain the constitution and functions of the Securities Appellate Tribunal established under the SEBI Act, 1992. 2012 1×
15 Distinguish share transfer from share transmission and examine the rules relating to processing of share transfers. 2012 1×
15 Distinguish share transfer and share transmission and state the norms governing processing of share transfers. 2010 1×
15 Define the forms 'Securities' and 'Stock Exchange' under the SC(R) Act, 1956. 2019 1×
15 Explain the functioning and administrative structure of stock exchanges under the SC(R) Act. 2021 1×
15 Give an account of the various penalties prescribed under SEBI, 1992. 2010 1×
15 Explain the guidelines for disclosure under the SEBI Act. 2017 1×
15 Explain the guidelines for listing of shares in the Stock Exchanges. 2014 1×
15 'Inspite of suitable legislative measures, the Indian Financial system remains weak.' - Comment. 2010 1×
15 Explain the law relating to procedure for issue of shares and allotment of shares. 2017 1×
15 Explain the law relating to A.P. protection of Depositories Act, 1999. 2012 1×
15 Explain the law relating to protection of Depositories under the Depositories Act. 2021 1×
15 Discuss the law relating to recognition of stock exchanges under the Securities Contracts (Regulation) Act, 1956. 2012 1×
15 'Money market is very important segment of Indian Financial System'. Comment and discuss various features of money market. 2020 1×
15 Define 'Mutual Funds' and 'SPUS' and state their legal incidents. 2011 1×
15 Explain about the non-banking financial institutions in India. 2012 1×
15 Explain the objectives and importance of the A.P. Protection of Depositaries Act. 2014 1×
15 State the powers and functions of SEBI under the model SEBI Act, 1992. 2011 1×
15 Examine the powers and functions of SEBI [text partially cut off in source photo] ... established and the guidelines for listing of securities. 2012 1×
15 Examine pre-independence and post-independence historical evaluation of securities laws in India. 2019 1×
15 Write a brief note on procedure established and guidelines for listing of securities. 2012 1×
15 Explain the purpose of inter corporate loans and investments in companies. 2017 1×
15 Explain the role of RBI in the strengthening of NBFC's in India. 2014 1×
15 Explain the role of SEBI in process of economic development of India. 2014 1×
15 Examine the salient features of the Depositories Act, 1996. 2010 1×
15 Explain the SEBI as an effective regulator of capital market in India. 2021 1×
15 Explain the SEBI initiatives on investor protection in India. 2020 1×
15 Define share and distinguish shares from debentures. 2019 1×