Table of Contents

0 votes, 0 avg
0

NISM Series-XV: Research Analyst Certification

CHAPTER 6- INDUSTRY ANALYSIS

1 / 43

1. What is the minimum net tangible assets requirement for an individual research analyst or partnership firm under the regulations?

2 / 43

2. Which is the central bank in India with the responsibility of administering the monetary policy?

3 / 43

3. Who can initiate insolvency proceedings against a company under the IBC if the undisputed amount outstanding is more than Rs. 1,00,000?

4 / 43

4. How long do existing research analysts have to comply with the capital adequacy requirement from the date of commencement of the regulations?

5 / 43

5. "The bye-laws of the stock exchanges are same across exchanges and need to be approved by SEBI". State whether True or False.

6 / 43

6. What is the period of validity for the certificate of registration granted under the regulations?

7 / 43

7. What is the requirement for compensating research analysts as per the SEBI (Research Analyst) Regulations?

8 / 43

8. Which of the following should be complete, timely, clear, and concise when it comes to the disclosure of conflicts of interest?

9 / 43

9. Which schedule of SEBI (Research Analyst) Regulation, 2014 specifies the application process for obtaining a certificate of registration?

10 / 43

10. Unhealthy practice in the Securities Markets includes which of the following?

11 / 43

11. What is the requirement for maintaining confidentiality of a research report according to the Code of Conduct for Research Analysts?

12 / 43

12. What can investment banking or merchant banking or brokerage services division's personnel of a research entity do regarding research analysts?

13 / 43

13. What is the purpose of the Insolvency and Bankruptcy Code (IB?

14 / 43

14. Who can be part of the committee of creditors in an insolvency proceeding under the Insolvency and Bankruptcy Code (IB?

15 / 43

15. What certification is required for individuals registered as research analysts under the regulations?

16 / 43

16. What should an applicant do if their application for a certificate of registration is rejected by the Board?

17 / 43

17. What is the time frame within which every insolvency proceeding should be completed under the IBC?

18 / 43

18. Which of the following entities can initiate insolvency proceedings against a company under the Insolvency and Bankruptcy Code (IB?

19 / 43

19. What is the role of an interim resolution professional (IRP) in an insolvency proceeding under the Insolvency and Bankruptcy Code (IB?

20 / 43

20. What is the time frame within which an insolvency proceeding should be completed under the Insolvency and Bankruptcy Code (IB?

21 / 43

21. What happens to the liability of an applicant if their application for a certificate of registration is rejected by the Board?

22 / 43

22. Who can be part of the committee of creditors under the IBC?

23 / 43

23. Who should bear the primary responsibility for maintaining appropriate standards of conduct and adherence to proper procedures in a research analyst or research entity?

24 / 43

24. What are the possible outcomes of an insolvency proceeding under the Insolvency and Bankruptcy Code (IB?

25 / 43

25. What is prohibited in the distribution of research reports?

26 / 43

26. What is the procedure if the Board rejects an application for a certificate of registration?

27 / 43

27. What additional information should be provided in a research report if a rating or price target is assigned for at least one year?

28 / 43

28. What is the aim of SEBI (Research Analyst) Regulation, 2014, and its amendments?

29 / 43

29. When can a research analyst or research entity publish or distribute a research report or make a public appearance regarding a subject company for which they acted as a manager or co-manager?

30 / 43

30. What is the networth requirement for a research analyst who is a body corporate or limited liability partnership firm under the regulations?

31 / 43

31. What are the possible outcomes of an insolvency proceeding under the IBC?

32 / 43

32. Which of the following actions by a research analyst or research entity is prohibited under the Code of Conduct for Research Analysts?

33 / 43

33. Which of the following principles should a research analyst or research entity adhere to according to the Code of Conduct for Research Analysts?

34 / 43

34. What is the responsibility of a research analyst or research entity regarding facts in research reports?

35 / 43

35. What is the timeframe for an applicant to request a reconsideration of the decision if their application is rejected by the Board?

36 / 43

36. What happens when an application for insolvency proceeding is filed and the adjudicating authority is satisfied that a default has occurred?

37 / 43

37. What is the responsibility of a research analyst or research entity distributing a third party research report?

38 / 43

38. Which authority was set up with the primary responsibility of promoting old age income security by establishing, developing, and regulating pension funds?

39 / 43

39. What are the minimum qualifications required for individuals registered as research analysts under the regulations?

40 / 43

40. What are the limitations imposed on trading by research analysts under the SEBI (Research Analyst) Regulations?

41 / 43

41. What is prohibited for research analysts or individuals employed as research analysts regarding investment banking or merchant banking or brokerage services business?

42 / 43

42. What should a research analyst or research entity establish to address potential conflicts of interest and maintain the independence of research activities?

43 / 43

43. What should a research analyst or research entity do if they employ a rating system in their reports?

Add a Comment

You must be logged in to post a comment

Shopping Basket
0
disclaimer

Mr. Chartist is solely dedicated to learning the financial market. Our objective is to improve financial literacy. Since we are practicing Technical Analysis on a personal level, we will be providing chart-based study in our website contents for educational purposes. Users of this website are expected not to misread it directly or indirectly as any buy/sell recommendations.

We are not SEBI Registered Investment Advisors & Research Analysts.

Disclaimer/disclosure /terms and conditions are applicable to all users of the Website. 

We Don’t provide any tips, recommendations, or PMS Services for any product. If you looking for trades and tips this website is not for you. We solely focus on Chart Learning through Blog and Chart Discussion. 

error: Alert: Content selection is disabled!!