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Past Question of Securities & Exchange

The document outlines past examination questions related to the laws governing the Securities and Exchange Commission (SEC) across various sessions from 2013 to 2023. Topics include regulations on shareholding by directors, corporate governance compliance, annual general meetings, and financial statement requirements. Each question addresses specific regulations, notifications, and compliance issues relevant to the SEC and its operations.

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162 views1 page

Past Question of Securities & Exchange

The document outlines past examination questions related to the laws governing the Securities and Exchange Commission (SEC) across various sessions from 2013 to 2023. Topics include regulations on shareholding by directors, corporate governance compliance, annual general meetings, and financial statement requirements. Each question addresses specific regulations, notifications, and compliance issues relevant to the SEC and its operations.

Uploaded by

mhtanjimkwsr
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Past question:

Laws Relating to Securities and Exchange Commission: Chapter-2


S/L
Exam Session Questions
No.
1 July-Aug 2023 Regulations of BSEC regarding the holding of shares by the directors
and their appointment, related non-compliances.
2 March-April 2023 DSEC listing regulation-Board meeting authentication, Preparation and
submission of audited FS, AGM in the digital platform.
3 Nov-Dec 2022 BSEC notification regarding stock-dividend purpose, prior permission
from BSEC (BSEC notification Oct 03, 2022), Right issue role 2006-
preconditions of applying for the right offer, criteria for the pricing of
the right shares, process of public announcement.
4 July-Aug 2022 AGM-timetable, notice, agenda, data of FS authentication, Dividend
share offload of sponsors and directors.
5 March-April 2022 Substantial Acquisition Rules dated June 10, 2018
Restriction imposed by BSEC for “Z” category company (BSEC
notification Sep 01, 2020).
6 Nov-Dec 2021 Unclaimed and undistributed dividend
Independent director-tenure, circumstances for appointment
Board meeting, Record date, AGM- time table.
7 March-April 2021 Procedure for Hybrid system of AGM
Unpaid Cash Dividend & Selection of AGM venue.
8 Nov-Dec 2020 Annual General Meeting, NRC and its constitution.
9 Nov-Dec 2019 Corporate Governance Compliance Status- Independent Director, Audit
committee, auditor, subsidiary company.
10 May-June 2019 Debt Securities
11 Nov-Dec 2018 Corporate Governance Compliance Code-Jobs Sequence.
12 Nov-Dec 2017 Price Sensitive Information
13 May-June 2017 Independent Director-Definition, qualification, Number, Audit
committee, Compliance.
14 Nov-Dec 2016 Right Share, Independent
Quarterly report Director, Audit Directors of subsidiary
adoption & committee, Auditor, company.
submission. Audit Report.
15 May-June 2016 PSI, Preparation, submission and audit of financial statements
16 Nov-Dec 2015 PSI, Gift in AGM, appoint auditor for 4rt times, delisting of securities
17 May-June 2015 Issuance of debt securities, SEC responsibility, Lock in share
18 Nov-Dec 2014 Right Share, Insider Trading, net capital
19 May-June 2014 Prospectus, Delisting, Cash flow, penalty.
20 Nov-Dec 2013 PSI, Insider Trading, Risk faced, Appeal, IPO fund.
21 May-June 2013 Restriction in securities, Appeal, Delisting, Financial Statements

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