Surveillance in Stock Exchanges Module (Intermediate) Practice Exam

Surveillance in Stock Exchanges Module (Intermediate) Practice Exam

An effective surveillance system is indispensable for the smooth operation of a capital market. The Surveillance in Stock Exchanges Module (Intermediate) has been created in response to the initiative of SEBI's Inter-Exchange Market Surveillance Group, aiming to establish a certified training program. This module offers valuable insights into surveillance matters within the stock market, helping in:

• Recognizing the significance of market surveillance mechanisms.
• Understanding the surveillance's role in risk management.
• Familiarizing with regulations such as the Anti Money Laundering Act, SEBI (Prohibition of Insider Trading) Regulations, etc.
• Grasping the concept of corporate governance.

Who should take the exam?

The exam is for:

• Surveillance staff of the Exchanges and Regulators
• Compliance officers
• Students & Teachers
• Anyone interested in the securities market

Exam Details

• Exam Name: Surveillance in Stock Exchanges Module (Intermediate)
• Exam Languages: English
• Exam Questions: 50 Questions
• Time: 120 minutes
• Passing Score: 60%

Course Outline 

The Exam covers the given topics  - 

Topic 1: Overview

• Importance of surveillance in stock exchanges; Market surveillance mechanism.

Topic 2: Basics of Investment Mathematics

• Return and risk, Fundamental analysis, Financial statement analysis, Cost of Capital, Capital structure, Capital budgeting, Time value of money; Market Index.

Topic 3: Learn about Rules and Regulations

• Securities Contracts Regulation Act, 1956 and Rules, 1957, Securities and Exchange Board of India Act, 1992, SEBI (Stock brokers & Sub Brokers) Regulations 1992, SEBI (Prohibition of Insider Trading) Regulations, 1992, SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations 2000, Prevention of Money Laundering Act 2000, Corporate Governance, Code of Ethics.

Topic 4: Understand Investigation, Surveillance and Risk Management

• Preliminary analysis and investigation, Surveillance activities – online and offline surveillance and rumour verification, Risk containment measures.