Session 5 -Part C Surveillance Scenario-Broking

As per PML Rules 2005, All necessary records of transactions between Broker and Client has to be maintained for a minimum of ____ years from the date of transaction/Account Closed

• Five Years

• Eight Years

• Ten years

• No Period define in rules

In TrackWizz, If broker does not want to generate any alerts for some of it clients, then is it possible to do such configuration?

• Yes

• NO

• Not Sure

• Not Attempting

In TrackWizz, under which option the client can be marked from alert exclution

• Company Setting

• Client Master

• Job in TrackWizz

• None of Above

To Calculate Intra Day trades which example is correct

• Buy and Sell 500 Shares of Infosys

• Buy 500 Reliance and Sold 500 Infosys

• Buy 500 Shares in Equity and sold 500 Shares in Derivative Market of Reliance

• Buy or Sell 500 Shares of Reliance

To calculate Profit Amount in Trading,Which statement is correct

• Buy Price has to be Greater than Sell Price always

• Sell Price has to be Greater than Buy Price

• Buy price will be equal to Sell Price

• None of Above

Mr. ABC has bought 5000 shares @ 100 on 1st Jan 23
Sold 1000 Shares at 110 on 01st Jan 23. Closing Price of the day is 105, What is summary of client position?

• Loss of Rs. 10000 and Unrealised Profit of Rs. 20000

• Profit of Rs. 10000 and Unrealised Profit of Rs. 20000

• Profit of Rs. 10000 and Unrealised Loss of Rs. 20000

• Loss of Rs. 10000 and Unrealised Loss of Rs. 20000

Off Market Transfer means _______________

• Transfer to Broker Account

• Transfer of Shares which are traded on Market

• Transfer of Shares which are not traded on Stock Exchange

• Transfer of shares from Broker Account

Is the statement correct about Pledge Transaction : Shares of a company are pledged as collateral security for obtaining loans from banks and financial institutions

• No
• Not Sure

• Shares cannot be pledged as collateral
• Yes

In case of Pledge Transaction shares are actually transferred in favor of counterparty or only block is created, Is the Statement False

• True
• Partially true
• Not enough information
• False

Surveillance Obligation Circular of July 2021, is applicable for Stock Broker and Depository Participant. Is the statement Correct?

• No
• Yes
• Not Attempting

• Not sure