NISM Series II B - Registrar and Transfer Agents (MF) Certification Paper 16

Q1.Who centrally maintains the address details of the unit holders?
 AMC
 SEBI
 AMFI
 SEBI registered KRA
 
Q2.Who sends the Statement of Accounts to investors on behalf of the Mutual Fund?
 Stock Exchange
 The bank of the mutual fund
 AMC
 R&T Agent
 
Q3.Who sends the Statement of Account to the investors on behalf of the mutual funds?
 The Sponsors
 The Custodians
 The AMC
 The R&T Agents
 
Q 4._ is NOT an objective of SEBI.
 Investor protection
 Managing stock market movements
Encourage the development of securities and participants
 Facilitate growth of market mechanism
 
Q 5. A change in the authorized signatories of an institutional investor has to be accompanied by a copy of the board resolution for the same - State True or False?
  True
  False
 
Q 6. According to the regulations, the information in Offer Document has to be provided in __ parts.
 2
 3
 4
 5
 
Q7.Calculate the NAV per unit if the net assets of the funds are Rs 500 crore and the number of units outstanding is 25 crore.
 Rs 12500
 Rs 0.05
 Rs 20
 Rs 25
 
Q8.Change in corporate status refers to the change from ____.
 a private limited company to a public limited company
 a partnership firm into a private limited company
 Both of the above
 None of the above
 
Q9.Debt instruments can be listed and traded on the secondary markets - State True or False?
  True
  False
 
Q10.During the NFO the investors buy units at __.
 NAV
 Market value
 NFO price
 Market Index

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