SM Question Bank for 3rd Internals

1.
2.
3.
4.
5.
6.
7.
8.

What do you mean by Derivatives?

Mention different types of derivatives.
What is forward contract?
What is futures contract?
Mention two differences between futures and forwards.
What is an option?
Mention two features of derivatives.
What do you mean by Derivatives market? How is it different from spot
market?
9. What is spot market? How is it different from derivatives market?
10. Mention two types of swaps.
11. What does a hedger do in derivatives market?
12. What does a speculator do in derivatives market?
13. What does an arbitrageur do in derivatives market?
14. What are interest rate swaps?
15. What are currency swaps?
16. What is a call option?
17. What is a put option?
18. What is strike price? Give an example.
19. What are swaps?
20. Mention two types of swaps.
21. What is Money Laundering?
22. What is Securities Transaction Tax?
23. What is Money Laundering?
24. What is Securities Transaction Tax?
25. Which all securities are covered under Securities Transaction Tax?
26. What is a contract note?
27. What is Insider Trading?
28. Who is an insider? Give an example.
29. What is Price sensitive information? Give an example.
30. Mention two code of conduct of stock brokers towards other stock
brokers.
31. Define fraud according to SEBI (Prohibition of Fraudulent and Unfair
trade
Practices) Regulations, 2003.
32. Mention two things included as fraud in to SEBI (Prohibition of
Fraudulent and
Unfair trade Practices) Regulations, 2003.
33. Define fraud according to SEBI (Prohibition of Fraudulent and Unfair
trade Practices) Regulations, 2003.

5 Marks
1. Explain the differences between forwards and futures.
2. Explain different types of options.
3. Explain the process of Money laundering.
4. Explain rules of trading.
5. Explain different types of bonds issued by the government.
6. Explain different types of derivatives.
7. Explain the advantages of derivatives.
8. Explain various risks involved in derivatives.
9. Explain different types of derivatives.
10. Explain the differences between forwards and futures.
11. Explain the features of forward contract.
12. Explain the various terms involved in futures contract.
13. Explain different types of options.
14. Explain different types of investors in derivatives market.
15. Explain the process of Money laundering.
16. Explain different methods of Money laundering.
17. Explain the main obligations and punishment of Prevention of Money
Laundering Act.
18. Explain the code of conduct of stock brokers towards clients and
regulatory authorities.
19. What are the reasons for introducing Securities Transaction Tax?
20. Who all are considered as connected persons as per the Prevention of
insider Trading act?
21. What are the disclosures the company has to compulsorily do as per
the Prevention of insider Trading act?