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Series : X4YZW SET ~ 4
Roll No.
-
Q.P. Code
329
- -
-
Candidates must write the Q.P. Code
on the title page of the answer-book.
FINANCIAL MARKETS MANAGEMENT
3 60
Time allowed : 3 hours Maximum Marks : 60
/ NOTE #
(I) - 15
Please check that this question paper contains 15 printed pages.
(II) - - - -
Q.P. Code given on the right hand side of the question paper should be
written on the title page of the answer-book by the candidate.
(III) - 24
Please check that this question paper contains 24 questions.
(IV) , -
Please write down the Serial Number of the question in the
answer-book at the given place before attempting it.
(V) - 15 -
10.15 10.15 10.30 -
-
15 minute time has been allotted to read this question paper. The
question paper will be distributed at 10.15 a.m. From 10.15 a.m. to
10.30 a.m., the candidates will read the question paper only and will not
write any answer on the answer-book during this period.
329-1 Page 1 of 15 P.T.O.
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(i)
(ii) - 24 :
(iii)
(iv) 6 + 18) = 24 3
6 + 11) = 17
(v)
(vi) : 30 :
(a) 6
(b)
(c)
(d)
(vii) 30 :
(a) 18
(b) 11
(c)
(d)
$
(30 )
1. 6 4 4 1=4
(i)
(A)
(B)
(C)
(D)
329-1 Page 2 of 15
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General Instructions :
(i) Please read the instructions carefully.
(ii) This question paper consists of 24 questions in two Sections : Section A
and Section B.
(iii) Section A has Objective type questions whereas Section B contains
Subjective type questions.
(iv) Out of the given (6 + 18) = 24 questions, a candidate has to answer
(6 + 11) = 17 questions in the allotted (maximum) time of 3 hours.
(v) All questions of a particular section must be attempted in the correct
order.
(vi) Section A : Objective Type Questions (30 marks) :
(a) This section has 6 questions.
(b) There is no negative marking.
(c) Do as per the instructions given.
(d) Marks allotted are mentioned against each question/part.
(vii) Section B : Subjective Type Questions (30 marks) :
(a) This section has 18 questions.
(b) A candidate has to do 11 questions.
(c) Do as per the instructions given.
(d) Marks allotted are mentioned against each question/part.
Section A
(Objective Type Questions) (30 Marks)
1. Answer any 4 out of the given 6 questions on Employability Skills. 4 1=4
(i) What can happen if one does not listen attentively in communication ?
(A) Message can be easily misunderstood
(B) Conversation becomes shorter
(C) Relationships improve
(D) Conflict resolution becomes easier
329-1 Page 3 of 15 P.T.O.
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(ii)
(A)
(B)
(C)
(D) -
(iii) ____________
(A) (B)
(C) (D)
(iv) -
(A) , ,
(B)
(C)
(D)
(v)
(A) (B)
(C) (D)
(vi)
(A)
(B)
(C)
(D)
2. 7 5 5 1=5
(i)
(A) (B)
(C) (D)
329-1 Page 4 of 15
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(ii) How can excess felling of trees affect ecosystems ?
(A) It leads to excessive rainfall.
(B) It improves air quality.
(C) It promotes wildlife conservation.
(D) It reduces biodiversity.
(iii) People with __________ personality disorder tend to lack guilt and fail
to learn from experience.
(A) Borderline (B) Antisocial
(C) Histrionic (D) Narcissistic
(iv) Which feature is not mentioned as an advantage of presentation
software ?
(A) Interesting features like images, videos, animation and music
(B) Easy to make changes
(C) Can be shown to a larger audience by projecting on a screen
(D) Automatic generation of content
(v)
(A) By reducing workload (B) By increasing stress levels
(C) By achieving goals efficiently (D) By ignoring deadlines
(vi) What is one potential economic benefit of green jobs for entrepreneurs ?
(A) Higher energy costs
(B) Development of new markets
(C) Increased greenhouse gas emissions
(D) Limited business opportunities
2. Answer any 5 out of the given 7 questions. 5 1=5
(i) What is the name of the bluechip index of the NSE ?
(A) BSE Sensex (B) CNX Nifty
(C) Dow Jones Industrial Average (D) Nasdaq Composite
329-1 Page 5 of 15 P.T.O.
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(ii) , , ____________
(A) (B)
(C) (D)
(iii)
(A) (B)
(C) (D)
(iv)
(v)
(vi) -
(A) (B)
(C) (D)
(vii) -
(A) (B)
(C) (D)
3. 7 6 6 1=6
(i) (NEAT) - ,
(A) (B)
(C) (D)
(ii) -
(A) (B)
(C) (D)
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(ii) Historically, stock exchanges were owned, controlled and managed by
____________.
(A) Government officials (B) Private investors
(C) Brokers (D) Banks
(iii) Which segment can NSE members not trade in ?
(A) Equities (B) Derivatives
(C) Debt instruments (D) Commodities
(iv) Why does NSE ensure stringent eligibility criteria for membership ?
(v) To whom should the payments and delivery of securities from clients
be made directly ?
(vi) Who handles investor complaints regarding transactions executed on
the Exchange ?
(A) SEBI (B) Arbitrators
(C) Investor Service Cell (ISC) (D) Trading members
(vii) Which financial instrument is considered a derivative of securities ?
(A) Corporate bonds (B) Mutual funds
(C) Index futures (D) Savings accounts
3. Answer any 6 out of the given 7 questions. 6 1=6
(i) Which window in NEAT enables users to enter, modify, or cancel
orders directly ?
(A) Snap Quote (B) Market Watch Window
(C) Order/Trade Window (D) Ticker Window
(ii) Which activities are not displayed in the Activity Log ?
(A) Orders awaiting execution (B) Orders with no activity
(C) Orders with high volume (D) Orders with special terms
329-1 Page 7 of 15 P.T.O.
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(iii)
(iv)
(v)
(A) (B)
(C) (D)
(vi) IOC
(vii)
(A)
(B)
(C)
(D)
4. 6 5 5 1=5
(i) NSCCL
(A)
(B)
(C)
(D)
(ii) NSCCL
(A)
(B)
(C)
(D)
329-1 Page 8 of 15
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(iii) What does the Buyback broadcast update ?
(iv) What happens if an active order finds a match ?
(v) Order modification can be performed :
(A) any time (B) only during market hours
(C) only after market hours (D) only on weekends
(vi) What does IOC stand for in the context of stop loss orders ?
(vii) Who can introduce the Wireless Application Protocol (WAP) based
trading service ?
(A) Any trader
(B) SEBI registered members with the permission from the
Exchange
(C) Independent financial advisors
(D) Any retail investor
4. Answer any 5 out of the given 6 questions. 5 1=5
(i) What is the function of a custodian in relation to settlement in
NSCCL ?
(A) Confirming trade execution
(B) Safeguarding share certificates
(C) Managing customer accounts
(D) Settling trades assigned by trading members
(ii) How does NSCCL ensure efficient settlement of trades ?
(A) By increasing trading fees
(B) Through real-time data transfer
(C) By managing counterparty risks
(D) Using physical delivery methods
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(iii)
(A) -
(B)
(C)
(D)
(iv)
(v) -
(vi) - -
5. 6 5 5 1=5
(i)
(A) (B)
(C) (D)
(ii) 3 8% 500
(A) 120 (B) 140
(C) 160 (D) 180
(iii)
(iv)
(A)
(B)
(C)
(D)
(v)
(vi)
(A) (B)
(C) (D)
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(iii) What happens in case of short delivery of securities by clearing
members ?
(A) The NSCCL conducts a buying-in auction.
(B) The transaction is voided automatically.
(C) Clearing banks cover the shortfall.
(D) RBI intervenes to resolve the issue.
(iv) Which type of settlement can experience bad deliveries ?
(v) Which entity is responsible for identifying short deliveries on the
pay-in day ?
(vi) Which risk is associated with uncertainty in market prices affecting
transaction outcomes ?
5. Answer any 5 out of the given 6 questions. 5 1=5
(i) Which organisation has the authority to allot ISIN for demat shares
in India ?
(A) NSE (B) RBI
(C) NSDL (D) SEBI
(ii) What is the simple interest on 500 borrowed at 8% per annum for
3 years ?
(A) 120 (B) 140
(C) 160 (D) 180
(iii)
calculations ?
(iv) Which financial ratios are used to assess the long-term solvency of a
firm ?
(A) Liquidity ratios
(B) Profitability ratios
(C) Leverage or Capital structure ratios
(D) Efficiency ratios
(v) Why is EPS considered important for investors ?
(vi) What does the Profit and Loss Account help stakeholders assess ?
(A) (B)
(C) (D)
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6. 6 5 5 1=5
(i)
(A) (B)
(C) (D)
(ii) _________
(iii) - ,
(A) (B)
(C) (D)
(iv) 50 _________
(A) 0·5 (B) 1
(C) 1·5 (D) 2
(v)
(A) (B)
(C) (D)
(vi) _________
(A)
(B)
(C)
(D)
$
30
5 3 20 30
3 2=6
7.
8. -
9.
10.
11.
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6. Answer any 5 out of the given 6 questions. 5 1=5
(i) What was the original name of the Chicago Mercantile Exchange
(CME) ?
(A) Chicago Board of Trade (B) Chicago Butter and Egg Board
(C) Chicago Financial Exchange (D) Chicago Stock Exchange
(ii) Margin payments are required for trading in __________ contracts.
(iii) Which term represents the amount of asset that must be delivered
under one futures contract ?
(A) Basis (B) Contract cycle
(C) Contract size (D) Expiry date
(iv) The index, such as Nifty 50, typically has a beta of ___________.
(A) 0·5 (B) 1
(C) 1·5 (D) 2
(v) Hedging in financial markets primarily aims to reduce the :
(A) Business risk (B) Unsystematic risk
(C) Market risk (D) Country risk
(vi) European options can be exercised ____________.
(A) on weekdays
(B) only on the expiration date itself
(C) any time up to the expiration date
(D) after the expiration date
Section B
(Subjective Type Questions) (30 Marks)
Answer any 3 out of the given 5 questions on Employability Skills. Answer each
question in 20 30 words. 3 2=6
7. How can active listening be ensured ?
8. What do you understand by self-awareness ?
9. How can you access the filter option in most spreadsheet programs ?
10. List any four key qualities that are considered important for a successful
entrepreneur.
11. How do greenhouse gases contribute to global warming ?
329-1 Page 13 of 15 P.T.O.
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5 3 20 30 3 2=6
12. -
13.
14.
15.
16.
3 2 30 50 2 3=6
17.
18.
19.
5 3 50 80 3 4=12
20.
21.
22. ,
, ,
23.
24.
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Answer any 3 out of the given 5 questions in 20 30 words each. 3 2=6
12. What is the duration of the pre-open session and what does it consist of ?
13. What happens if there is a shortfall in margin ?
14. What is meant by the creation of charge in the context of secured loans ?
15. What is the role of regulatory authorities in derivative markets ?
16. What is meant by unsystematic risk ?
Answer any 2 out of the given 3 questions in 30 50 words each. 2 3=6
17. Write any three immediate effects on a trading member upon suspension.
18. Describe the responsibilities of a Branch Manager in managing a trading
branch. How do they interact
19. , and how does
it benefit the investors ?
Answer any 3 out of the given 5 questions in 50 80 words each. 3 4=12
20. What are the key differences between trading in a CM Segment and in
Futures & Option (F&O) Segment ?
21. What are outstanding orders ? State their any two special features.
22.
determined through the clearing process. The clearing bank and
depositories provide the necessary interface between the
custodians/clearing members for settlement of funds/securities obligations
of trading members. The clearing corporation provides a major link
between the clearing banks, clearing members and the depositories.
Write the core processes involved in the settlement process.
23. Compare and contrast the risk exposures associated with interest rate
swaps and currency swaps.
24. What is futures contract ? Why are futures contracts considered
standardised ?
329-1 Page 15 of 15 P.T.O.
