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Regulatory Institutions Interview Questions & Answers - Learning Mode

Regulatory Institutions Interview Questions & Answers - Learning Mode

A Regulatory Institution is a governmental body that is created by a legislature to implement and enforce specific laws. An agency has quasi-legislative functions, executive functions, and judicial functions.

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Regulatory Institutions Interview Questions & Answers - Learning Mode
Try Regulatory Institutions Interview Questions & Answers - Exam Mode
Question: What is Reserve Bank of India?

Answer: The Reserve Bank of India is India's central banking institution, which controls the monetary policy of the Indian rupee. It commenced its operations on 1 April 1935 during the British Rule in accordance with the provisions of the Reserve Bank of India Act, 1934. Source:
Question: State the SEBI Guidelines on Book building?

Answer: a)The option of book-building shall be available to all body corporate which are otherwise eligible to make an issue of capital to the public.
b)The issuer company shall have an option of either reserving the securities for firm allotment or issuing the securities through book-building process.
c)The requirement of minimum 25% of the securities to be offered to the public shall also be applicable
d)In case the book-building option is availed of, underwriting shall be mandatory to the Source:
Question: State the SEBI guidelines for debentures issued for public subscription?

Answer: ?Compulsory credit rating will be required if conversion is made for FCDs after 18 months.
?Premium amount on conversion, the conversion period, in stages, if any, shall be pre-determined and stated in the prospectus.
?The interest rate for above debentures will be freely determinable by the issuer.
?Issue of debenture with maturity of 18 months or less are exempt from the requirement of appointing Debenture Trustees or creating a Debenture Redemption Reserve (DRR).
?The trust de Source:
Question: State the SEBI Guidelines for Bonus Issue?

Answer: 1. No bonus shares shall dilute other issues
2. Bonus issue from free reserves
3. Revaluation reserve not eligible:
4. Issue in lieu of dividend
5. Partly paid shares not eligible
6. No default of payment of interest
7. Time within which bonus issue shall be made
8. Bonus proposal cannot be withdrawn
9. Provision in the articles Source:
Question: Give the objectives of SEBI?

Answer: (1) Regulation of Stock Exchanges
(2) Protection to the Investors
(3) Checking the Insider Trading
(4) Control over Brokers Source:
Question: What is SEBI (Security Exchange Board of India)?

Answer: The Securities and Exchange Board of India (SEBI) is the designated regulatory body for the finance and investment markets in India. The board plays a vital role in maintaining stable and efficient financial and investment markets by creating and enforcing effective regulation in India's financial marketplace. India's SEBI is similar to the U.S. Securities and Exchange Commission (SEC). Source:
Question: State the Duties, Powers and Functions of Insurance Regulatory Development and Authority?

Answer: * issue to the applicant a certificate of registration, renew, modify, withdraw, suspend or cancel such registration;
* protection of the interests of the policy holders in matters concerning assigning of policy, nomination by policy holders, insurable interest, settlement of insurance claim, surrender value of policy and other terms and conditions of contracts of insurance;
* specifying requisite qualifications, code of conduct and practical training for intermediary or insurance interm Source:
Question: State the role of RBI in Agricultural Sector?

Answer: i. It provides refinance facilities for agriculture, small scale industries, artisans; cottage and village industries, handicrafts and other allied economic activities so that production may be increased.
ii. It can borrow from RBI and the Government of India. It can arrange funds from the World Bank and other multilateral and bilateral financial agencies.
iii. It can advance loans up to a period of 20 years to State Governments so that they may participate in the share capital of coop Source:
Question: State the functions of RBI?

Answer: 1. Issue of Bank Notes
2. Banker to Government
3. Custodian of Cash Reserves of Commercial Banks
4. Custodian of Country?s Foreign Currency Reserves
5. Lender of Last Resort
6. Central Clearance and Accounts Settlement
7. Controller of Credit Source:
Question: State the SEBI guidelines for Primary Market?

Answer: a)New Company
b)New Company set up by Existing Company
c)Private and closely held companies
d)Existing Listed Companies Source:
Question: State the SEBI Guidelines for Right Issue?

Answer: 1. Applicability:
These guidelines apply to the rights issues made by existing listed companies
2. Withdrawal of a Rights Issue:
Rights issue cannot be withdrawn after the announcement of the record date.
3. Underwriting:
The underwriting of rights issue shall be optional.
4. Appointment of Registrar:
Appointment of Registrars to Issue shall be compulsory.
5. Appointment of Merchant Banker:
Appointment of Category-1 Merchant Banker holding a valid certificate of regist Source:
Question: What are Regulatory Institutions?

Answer: A Regulatory Institution is a governmental body that is created by a legislature to implement and enforce specific laws. An agency has quasi-legislative functions, executive functions, and judicial functions. Source:
Question: State the objectives of Insurance Regulatory and Development Authority?

Answer: a)To promote the interest and rights of policy holders.
b)To promote and ensure the growth of Insurance Industry.
c)To ensure speedy settlement of genuine claims and to prevent frauds and malpractices
d)To bring transparency and orderly conduct of in financial markets dealing with insurance. Source:
Question: Give the SEBI Guidelines for IPOs?

Answer: a)IPOs of small companies
b)Size of the Public Issue
c)Promoter Contribution
d)Collection centers for receiving applications
e)Regarding allotment of shares
f)Time frames for the issue and Post-Issue formalities
g)Dispatch of Refund Orders
h)Other regulations pertaining to IPO
i)Restrictions on other allotments
j)Relaxations on other allotments Source:
Question: What is the meaning of Insurance Regulatory and Development Authority(IRDA)?

Answer: Insurance Regulatory and Development Authority of India (IRDAI) is an autonomous apex statutory body which regulates and develops the insurance industry in India. It was constituted by a Parliament of India act called Insurance Regulatory and Development Authority Act, 1999 and duly passed by the Government of India. Source:
Question: State the powers of SEBI?

Answer: ◾Under the prevalent regulations, the Securities Appellate Board has been granted powers to issue any directions as it deem fit to protect the interest of investors
◾Any insider who deals in securities in contravention of the above provisions shall be guilty of insider trading. The SEBI Act provides that any person who is guilty of insider trading shall be liable to penalty not exceeding rupees 5 lakhs.
◾If SEBI suspects that any person has violated any provision of these Source:
Question: Define Book Building?

Answer: Book building is a systematic process of generating, capturing, and recording investor demand for shares during an initial public offering (IPO), or other securities during their issuance process, in order to support efficient price discovery. Book building is the process by which an underwriter attempts to determine at what price to offer an initial public offering (IPO) based on demand from institutional investors. An underwriter builds a book by accepting orders from fund managers, indicating Source:
Question: State the Credit control Methods of RBI?

Answer: 1) Qualitative Method
Marginal Requirement
Rationing of credit
Moral Suasion
2) Quantitative Method
Bank Rate
Open Market Operations
Cash Reserve Ratio
Statutory Liquidity Ratio Source:


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Latest 20 Questions
Payment of time- barred debt is: (a) Valid (b) Void (c) Illegal (d) Voidable
Consideration is defined in the Indian Contract Act,1872 in: (a) Section 2(f) (b) Section 2(e) (c) Section 2(g) (d) Section 2(d)
Which of the following is not an exception to the rule, "No consideration, No contract": (a) Natural love and affection (b) Compensation for involuntary services (c) Completed gift (d) Agency
Consideration must move at the desire of: (a) The promisor (b) The promisee (c) The promisor or any other party (d) Both the promisor and the promisee
An offer which is open for acceptance over a period of time is: (a) Cross Offer (b) Counter Offer (c) Standing Offer (d) Implied Offer
Specific offer can be communicated to__________ (a) All the parties of contract (b) General public in universe (c) Specific person (d) None of the above
_________ amounts to rejection of the original offer. (a) Cross offer (b) Special offer (c) Standing offer (d) Counter offer
A advertises to sell his old car by advertising in a newspaper. This offer is caleed: (a) General Offer (b) Special Offer (c) Continuing Offer (d) None of the above
In case a counter offer is made, the original offer stands: (a) Rejected (b) Accepted automatically (c) Accepted subject to certain modifications and variations (d) None of the above
In case of unenforceable contract having some technical defect, parties (a) Can sue upon it (b) Cannot sue upon it (c) Should consider it to be illegal (d) None of the above
If entire specified goods is perished before entering into contract of sale, the contract is (a) Valid (b) Void (c) Voidable (d) Cancelled
______________ contracts are also caled contracts with executed consideration. (a) Unilateral (b) Completed (c) Bilateral (d) Executory
A offers B to supply books @ Rs 100 each but B accepts the same with condition of 10% discount. This is a case of (a) Counter Offer (b) Cross Offer (c) Specific Offer (d) General Offer
_____________ is a game of chance. (a) Conditional Contract (b) Contingent Contract (c) Wagering Contract (d) Quasi Contract
There is no binding contract in case of _______ as one's offer cannot be constructed as acceptance (a) Cross Offer (b) Standing Offer (c) Counter Offer (d) Special Offer
An offer is made with an intention to have negotiation from other party. This type of offer is: (a) Invitation to offer (b) Valid offer (c) Voidable (d) None of the above
When an offer is made to the world at large, it is ____________ offer. (a) Counter (b) Special (c) General (d) None of the above
Implied contract even if not in writing or express words is perfectly _______________ if all the conditions are satisfied:- (a) Void (b) Voidable (c) Valid (d) Illegal
A specific offer can be accepted by ___________. (a) Any person (b) Any friend to offeror (c) The person to whom it is made (d) Any friend of offeree
An agreement toput a fire on a person's car is a ______: (a) Legal (b) Voidable (c) Valid (d) Illegal
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