Q 1. ________ is an example of Corporate Debt security.
(i) Private placements
(ii) Preference Shares
Q 2. _________ contributes to the capital of the AMC.
Q 3. _________ holders are creditors of the company.
(i) debenture holders
(ii) preference holder
Q 4. _________ is defined as ?the natural person or persons who ultimately own, control or influence a client and/or persons on whose behalf a transaction is being conducted, and includes a person
who exercises ultimate effective control over a legal pers
Q 5. __________ will be applicable for liquid funds if clear funds are available and the funds can be deployed the same day.
Q 6. ___________ has the responsibility of tagging the transactions to T-30 or B-30 locations.
Q 7. ___________ is a fund created by the Ministry of Corporate Affairs for promoting investors? awareness and protecting their interests.
(i) The Investor Education and Protection Fund (IEPF)
(ii) The Depositor Teaching and Protection Fund (DTPF)
Q 8. ___________ is not announced when a debenture is issued.
(i) The trading price of the debenture in the secondary market
(ii) The date on which the debenture will be redeemed
Q 9. ___________ is predefined in a mutual fund scheme.
Q 10. ___________ provides the collection services to mutual funds.
Q 11. ___________ sends the Statement of Account to the investors on behalf of the mutual funds.
(i) The R&T Agents
(ii) The AMC
Q 12. ____________ are maintained to receive investments into schemes from investors.
Q 13. Megasoft Ltd. is a company incorporated in India. Its normal tax liability for the current financial year is Rs 5,00,000 and tax liability under Minimum Alternate Tax (MAT) is Rs 7,00,000. Calculate the amount o
Q 14. ____________ is the assurance that the information is reliable and accurate.
Q 15. An executor is a person appointed by the ______________.nbsp;
Q 16. ____________ settles the capital market transactions of a mutual fund like receiving securities and settling funds.
Q 17. _____________ has statutory information about the mutual fund or AMC offering the scheme.
Q 18. ______________ overseas and regulates the functioning of intermediaries such as brokers, R&T agents.
Q 19. _______________ is filed with SEBI as a one-time filing.
Q 20. ________________ give the investors the right to buy shares of the company in the future.
Q 21. A 20 percent dividend declared on face value of Rs 13 and market price of Rs 130 translates into a dividend payout of _____.
Q 22. A company may issue additional shares to existing shareholders without any capital contribution from the shareholders based on the number of shares an investor holds. This is known as a
_____.
Q 23. A debenture is usually secured on the assets of the company. State True or False.
Q 24. A new investor can make a fresh purchase in a mutual fund scheme by submitting a __________.
(i) application form
(ii) purchase order
Q 25. A Power of Attorney has ______ parties.
Sign-up with Google