Q 1. ABC company has an issued capital of Rs. 20 crore made up of 2 crore shares of Rs. 10 each, and an investor owns 20 lakh equity shares, such investor owns ____ of the company.
Q 2. What is the Cut off times for Liquid Fund redemption?
Q 3. Total of _________ people can jointly invest in a mutual fund scheme folio.
Q 4. If the value of a unit is Rs. 10 and 3000 units have been sold at Rs. 10 each, the value of the pool is _______.
Q 5. The AMC of a Mutual Fund is appointed by _________.
Q 6. Mutual fund schemes are required by regulation to open for transactions within ____ of allotment.
Q 7. Contribution of a single investor in any scheme of a mutual fund should not exceed _______.
Q 8. The market value of a fund?s portfolio is Rs. 500 crore. If the current liabilities are Rs. 5 crore, what are the net assets?
Q 9. What is the minimum investment in equity and equity related instruments in multi cap fund?
Q 10. Which of the following is true regarding Fund of Funds?
Q 11. A Stock Exchange change its bye-laws with the prior approval of _______.
Q 12. Investors that opt for withdrawing or transferring only the appreciation on the investment. This is known as the ____________.
Q 13. ____________ is a bond whose interest amount fluctuates in step with the market interest rates, or some other external measure.
Q 14. ___________ 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 15. The core function of an AMC is ____________. (i) Fund Management (ii) Customer service
Q 16. ____________ generally carries out the mutual fund transaction for an Institutional Investor. (i) The bankers of the Institutional Investor (ii) The authorized signatories of the Institutional Investor
Q 17. One should comply with the FATCA and CRS requirements in India because _______. (i) FPIs can invest India only if these requirements are compiled (ii) India is a signatory to the inter-government agreements to combat tax evasion
Q 18. Which of the given statement is true? (i) The NAV of both Growth Option and Dividend Option are usually the same. (ii) The NAV for the growth and dividend options of a scheme will be different.
Q 19. The role of a Compliance Officer in a RT Agent organisation is ___________. (i) to ensure compliance with SEBI regulations (ii) reporting compliance violations to SEBI
Q 20. Which of the given statement is true? (i) The source of funds has to be clearly shown while giving payment instructions by an NRI. (ii) RBI regulates the foreign currency coming into and going out of India.
Q 21. The tax liability of a Non-Resident Indian (NRI) depends on _______.
Q 22. __________ decides the face value of a bond while the market value is decided by __________.
Q 23. Equity capital cannot be taken out of the firm unless the firm is liquidated. State True or False.
Q 24. No third party transactions allowed through e-wallets. State True or False.
Q 25. The AMC of one mutual fund cannot be a trustee of another mutual fund. State True or False.
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