SEBI - Investor Certification Examination
SEBI - Investor Certification Examination
Q 1. Who regulates Non-Banking Finance Companies (NBFCs) for mobilizing deposits?
SEBI
RBI
MCA
PFRDA
Q 2. Which authority regulates gold-saving schemes launched by jewelers?
SEBI
RBI
MCA
State Governments
Q 3. Who is responsible for the regulation of deposits accepted by companies under Section 73 of the Companies Act?
SEBI
RBI
MCA
PFRDA
Q 4. Which authority handles grievances against companies and intermediaries in the securities market?
SEBI
RBI
MCA
PFRDA
Q 5. Who regulates the chit fund business in India?
SEBI
RBI
MCA
State Governments
Q 6. Which organization manages the New Pension System (NPS)?
SEBI
RBI
MCA
PFRDA
Q 7. What should you do before using SEBI’s SCORES platform?
Directly file a complaint with SEBI
Contact the concerned company or broker
Wait for three months
None of the above
Q 8. Who should you inform if an investment adviser offers assured or guaranteed returns?
RBI
MCA
SEBI
State Government
Q 9. What is required of an investment adviser before accepting their advice?
Payment of advisory fees in cash
Risk profiling
Immediate investment in suggested schemes
None of the above
Q 10. Which regulator should be approached for issues related to Unit Linked Insurance Plans (ULIPs)?
SEBI
RBI
MCA
PFRDA
Q 11. What type of entities can you file a complaint against on SEBI’s SCORES platform?
Unlisted companies
Registered intermediaries
Foreign banks
Municipal corporations
Q 12. Which authority regulates multi-level marketing or pyramid schemes?
SEBI
RBI
MCA
IRDAI
Q 13. How should you make payments to an investment adviser?
In cash
Through banking channels
Via cryptocurrency
By bartering goods
Q 14. What documents should you insist on getting from your investment adviser?
Verbal agreement
Email confirmation
Written terms and conditions
Video message
Q 15. Who regulates housing finance institutions in India?
SEBI
RBI
MCA
IRDAI