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Question 1 reset
The SEBI (Intermediaries) Regulations, 2008, mandates the appointment of Compliance officer. State True or False?
Question 2 reset
Primarily, compliance involves
Question 3 reset
Critical Reporting by Compliance officers include which of the following?
Question 4 reset
As per the SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, a certificate is valid for a period of ______ from the date of grant of certificate or revalidation as the case may be.
Question 5 reset
Any intermediary can appeal to SAT, if it has been aggrieved by any order passed by SEBI. State whether True or False?
Question 6 reset
Penalty may be payable by an intermediary under SEBI Act if it fails to:
Question 7 reset
Can SEBI prohibit any company from issuing prospectus, any offer document, or advertisement soliciting money from the public for the issue of securities?
Question 8 reset
The function of SEBI is/are:
Question 9 reset
SEBI can prohibit any company from __________ for the issue of securities?
Question 10 reset
Penalty may be payable by an intermediary under SEBI Act if it fails to maintain books of account or records.

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