NISM Series II B - Registrar and Transfer Agents (MF) Certification Paper 03
| Q1.Which agency regulates market intermediaries like R&T agents and brokers? |
| AMFI |
| RBI |
| IRDA |
| SEBI |
| Q2.Who has to sign the application form required to make a fresh purchase of a mutual fund scheme? |
| Only the first holder |
| Only the first and second holder |
| All joint holders |
| No signs are required if Aadhar Card is provided |
| Q3.___ has been notified as to the single identification number for all financial market transactions. |
| ARN number |
| PAN |
| Bank Account number |
| Aadhar Card number |
| Q4.A Depository Receipt is a receipt issued against shares of a company by the ___. |
| American Authorities |
| Custodians |
| Stock Exchanges |
| Brokers |
| Q5.Does a sponsored DR issue have existing shareholders offering their shares for conversion into DRS - State True or False? |
| True |
| False |
| Q 6. All communications to the investor are sent to the address as mentioned in the __. |
| PAN CARD |
| Bank Pass Book |
| Application Form |
| Transaction Slip |
| Q7.AMCs should have a net worth of at least ___ at all times. |
| Rs 25 Crore |
| Rs 50 Crore |
| Rs 75 Crore |
| Rs 100 Crore |
| Q 8.An AMC can manage the funds of more than one mutual fund - State True or False? |
| True |
| False |
| Q 9.An Asset Management Company is set up in the form of ____. |
| a trust |
| a firm |
| an investment bank |
| a private or public limited company |
| Q 10.An equity-oriented fund is one that has invested not less than _ of its funds in equity shares. |
| 50% |
| 65% |
| 71% |
| 85% |