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Angel One
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I applied via Naukri.com and was interviewed in Dec 2021. There were 3 interview rounds.
I have experience in handling SEBI/Exchange inspections and ensuring compliance with regulations.
I have worked closely with SEBI and Exchange officials during inspections.
I have ensured that all necessary documents and records are readily available for inspection.
I have conducted internal audits to identify and address any potential compliance issues.
I have implemented policies and procedures to ensure ongoing complian...
Laws applicable for a stock broker
Securities and Exchange Board of India (SEBI) Act, 1992
Securities Contracts (Regulation) Act, 1956
Depositories Act, 1996
Prevention of Money Laundering Act, 2002
Foreign Exchange Management Act, 1999
Income Tax Act, 1961
Yes, I have experience in filing and reporting submissions to regulators.
I have worked on various compliance projects where I had to file and report submissions to regulators.
I am familiar with the regulatory requirements and guidelines for filing and reporting.
I have experience in preparing and submitting regulatory reports and filings on time.
I have also worked on remediation projects where I had to file and report c...
Top trending discussions
I applied via Naukri.com and was interviewed before Apr 2022. There were 2 interview rounds.
Financial budgeting and analysis involves creating and managing a financial plan to achieve business goals.
Financial budgeting involves creating a plan for income and expenses over a specific period of time.
Financial analysis involves reviewing financial data to identify trends, opportunities, and potential risks.
Both budgeting and analysis are important for making informed financial decisions and achieving business ob...
The topic is best practices for senior associates.
One best practice is to prioritize tasks and manage time effectively.
Another best practice is to communicate clearly and effectively with team members and clients.
A third best practice is to continuously learn and stay updated on industry trends and developments.
Additionally, building strong relationships and networking with colleagues and clients is crucial.
Lastly, att...
Numerical logical round with market related questions
I applied via Job Portal and was interviewed in May 2024. There were 3 interview rounds.
PPT Assignment comparing all APIs
I applied via LinkedIn and was interviewed in Oct 2023. There were 2 interview rounds.
I applied via Company Website and was interviewed before Sep 2020. There were 5 interview rounds.
I applied via Walk-in and was interviewed before Feb 2021. There was 1 interview round.
I applied via Recruitment Consulltant and was interviewed before Feb 2021. There were 2 interview rounds.
I applied via Company Website and was interviewed in Aug 2020. There was 1 interview round.
The market cap of Indian stock market is constantly changing based on the performance of the companies listed on the stock exchange.
Market cap is the total value of all the shares of companies listed on the stock exchange
It is calculated by multiplying the total number of outstanding shares by the current market price of each share
As of August 2021, the market cap of Indian stock market is around $3.2 trillion
The marke...
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Senior Executive
341
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Relationship Manager
322
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Assistant Manager
268
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Equity Dealer
212
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Deputy Manager
157
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Zerodha
Upstox
Groww
5paisa Capital Ltd.