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Question 1 reset
For an entity to function as a Depository Participant, it is mandatory for it to be registered with SEBI as a Depository Participant.
Question 2 reset
Every Depository Participant should put in place an adequate mechanism for ________ the internal accounting controls.
Question 3 reset
As per the SEBI (Depositories and Participants) Regulations, the records and documents should be reconciled by the Depository Participant with each depository on a ________ basis.
Question 4 reset
As per the SEBI (Depositories and Participants) Regulations, a Depository Participant shall not increase charges / fees for the services rendered without proper advance notice to the Beneficial Owners.
Question 5 reset
Which of the following is NOT the activity performed by Bankers to an Issue?
Question 6 reset
A Banker to an Issue has allowed blank application forms bearing brokers' stamp to be kept at the bank premises. Has the Banker violated the Code of Conduct prescribed by SEBI?
Question 7 reset
Apart from SEBI regulations, Bankers to an Issue shall abide by the relevant rules and regulations of
Question 8 reset
Under the Code of Conduct, SEBI prescribes Bankers to an Issue against their participation in
Question 9 reset
As per SEBI (Debenture Trustees) Regulations, which of the following can apply to register a Debenture Trustee?
Question 10 reset
As per the SEBI (Debenture Trustee) Regulations, the certificate of registration as Debenture Trustee is valid for a period of ________ years.

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