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NSDL-DP Mock Test 05 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

Please do not refersh or reload this page

12/16/2017 12:27:40 PM

Total Questions  60
 

Pass Marks is 55%

Time Left : 00:00:00 Hrs

 


Question 1 :Clearing Corporation or a Clearing House of a stock exchange shall not be permitted to open beneficiary accounts for clients [Mark 1]



Question 2 :Clearing Corporation or a Clearing House of a stock exchange shall be permitted to open beneficiary accounts for clients only when [Mark 2]





Question 3 :Which of the following forms the part of a Tripartite Agreement between Issuer R and T, NSDL and DP [Mark 2]





Question 4 :In stock lending or borrowing process, what is the transaction fees charged by NSDL to lenders DP for moving securities from lenders account to intermediarys account [Mark 2]





Question 5 :If beneficial owner opts for demat securities in the public issue application form then, the probability of allotment of the shares [Mark 2]





Question 6 :In a share application form, if an applicant applies for part subscription in demat form and part in physical form, then [Mark 2]





Question 7 :On rematerialisation the share certificates are [Mark 2]





Question 8 :Every Issuer must enter into an agreement with NSDL for offering its securities for demat, the following is true with respect to the statement made [Mark 2]




Question 9 :To dematerialise government securities, NSDL has to take prior approval of [Mark 1]





Question 10 :Mr M is holding securities with DP D Since he is scheduled to relocate to Dubai on a special assignment and expects to be away for quite a while, he wishes to lock freeze his account, He can do so by [Mark 2]





Question 11 :As a part of the capital adequacy requirement, the base minimum capital prescribed by SEBI [Mark 2]





Question 12 :Tick the true statement [Mark 1]





Question 13 :Mr P has 500 shares of a company in his account with DP D, He pledges these shares with bank B, He now gives a transfer debit instruction to his DP D to transfer 200 of these shares to his broker R, Assuming no additional credits are expected into Ps account with DP D [Mark 2]





Question 14 :Book building [Mark 1]





Question 15 :If a DP goes bankrupt, what happens to the dematerialised holdings of investors with the DP [Mark 2]





Question 16 :A broker clearing member gives delivery to clearing corporation or house instruction to its DP, What will be the movement of the shares [Mark 2]





Question 17 :An investor submits 10 share certificates of RPl, all in market lot of 50 shares for demateriaiisation to his DP, the face value of the share is Rs 10, Assuming that DP charges 0 point 2 percent of the face value of securities for dematerialisation, calculate dematerialisation charges by NSDl to the DP [Mark 2]





Question 18 :If an investor requests for demat securities in case of public issue without having a depository account, then [Mark 1]





Question 19 :Physical securities registered in the name of more than three joint holders, can be dematerialised by [Mark 1]





Question 20 :For a stock exchange or clearing house to settle demat securities, the stock exchange or house must have a mechanism to ensure payment against delivery or guarantee settlement, this requirement is drawn from [Mark 1]





Question 21 :Is it true that according to SEBls April 6, 1998 directive demat shares will be treated as good delivery in the physical segments of stock exchanges connected to NSDL [Mark 2]





Question 22 :UTI [Mark 1]




Question 23 :All dematerialised securities are [Mark 2]





Question 24 :The complete depository software of NSDL is called as [Mark 2]





Question 25 :System Security Devices provided by NSDL to all its Business Partners is [Mark 1]





Question 26 :With regard to any change in clients fee structure, the client is entitled to receive notice [Mark 2]





Question 27 :Which of the following points strengthen the safety feature of NSDL [Mark 2]





Question 28 :Every month NSDL forwards statement of account to a random sample of investors as a counter check [Mark 1]



Question 29 :If DP goes bankrupt [Mark 2]





Question 30 :A DP has to get a comprehensive insurance policy to protect the interest of the investors [Mark 1]



Question 31 :The whole Technology Hardware system of NSDL is based on [Mark 1]





Question 32 :All annual fees by the business partners of NSDL are to be paid before [Mark 2]





Question 33 :NSDL Charges interest on any delay in payment by any of its business partners, the rate of interest therein is [Mark 2]





Question 34 :A company XYZ LTD has 30000 folios in NSDL, what is the annual fees payable by this Issuer XYZ ignore service Taxes [Mark 2]





Question 35 :A company XYZ Ltd Ltd have issued 25 folios and all are in NSDL, what is the Annual Fees payable by this issuer, if the nominal value of the security is RS 22 crores [Mark 2]





Question 36 :An issuer can pay One Time Custody Fees instead of annual payments; the applicable rate for the same is [Mark 2]





Question 37 :In one time fees system, the issuer will have to pay extra fees on any subsequent issue of Bonus shares by the company [Mark 1]



Question 38 :A company XYZ Ltd wants to raise Rs 5500 crs from the Market by way of issue of Equity Shares, the company wants to issue all its shares in NSDL DPs, what will be the joining fees to be paid by the issuer XYZ [Mark 2]





Question 39 :A company PQR announced Bonus at the rate 1 is to 1 to its shareholders, the required fees to be submitted to the NSDL for distribution of this Non Cash Corporate Benefits is [Mark 2]





Question 40 :In case of conversion of shares from partly paid to fully paid, the issuer will have to pay the fees at the rate of [Mark 1]





Question 41 :What is Benpos in the Depository environment [Mark 2]





Question 42 :An issuer PQR has 15000 beneficiaries Folio for their shares lying with NSDL, the issuer wish to get the Benpos for their shares, what is the fee to be paid by them to NSDL [Mark 2]





Question 43 :What is the fee paid by the issuer for weekly downloads and downloads for statutory purposes [Mark 1]





Question 44 :Entry fees paid by a Depository Participant to the Depository NSDL is [Mark 2]





Question 45 :A Clearing Corporation or a Clearing House of a Stock Exchange will be exempt from payment of security deposit to the NSDL [Mark 1]



Question 46 :Mr O a client of Stock Broker KPM gives a debit instruction of 500 shares from his account to L, the Client of Stock Broker XYZ, What is the fees payable by Mr O [Mark 2]





Question 47 :Mr O a client of Stock Broker KPM gives a debit instruction of 500 shares from his account to L, the Client of Stock Broker XYZ, What is the fees payable by Mr L [Mark 2]





Question 48 :Mr O a client of Stock Broker KPM gives a Pledging Creation instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by Mr O to his or her DP [Mark 2]





Question 49 :Mr O a client of Stock Broker KPM gives a Pledging Creation instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by company L to its DP [Mark 2]





Question 50 :No fee shall be charged when a pledge or hypothecation is closed or invoked [Mark 2]



Question 51 :Mr O a client of Stock Broker KPM gives a Lending instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by Mr L to his or her DP [Mark 2]





Question 52 :Mr O a client of Stock Broker KPM gives a Lending instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by Mr O to his or her DP [Mark 2]





Question 53 :Custody Fees for unlisted securities held under each ISIN in each and every account maintained with the Participant shall be charged to the Participant, on a quarterly basis [Mark 1]





Question 54 :No custody fee will be levied for [Mark 1]





Question 55 :Which is true for Indian Depository system [Mark 1]





Question 56 :What is the minimum bill to be charged from every DP on annual basis [Mark 1]





Question 57 :A DP when subscribes for SPEED e have to pay Admission Fees plus Annual Fees [Mark 2]





Question 58 :A DP have 5000 Accounts out of which 1000 clients are using Client Id Smart card User for viewing their transactions, statements etc What is the fee to be paid by this DP to NSDL [Mark 2]





Question 59 :A DP have 5000 Accounts out of which 1000 clients are using Client Id Password User for viewing their transactions, statements etc, What is the fee to be paid by this DP to NSDL [Mark 2]





Question 60 :What is the maximum which a DP can charge from its investor [Mark 2]