1 .Question – The capital Adequacy ratio for NBFC’s has been at
Correct Answer – 12%
Correct Answer – 12%
2 .Question – Dematerialized shares have distinctive numbers.
Correct Answer – False
3 .Question – The precautions to be taken with respect to delivery instruction slip are
Correct Answer –
A ) DIS numbers are pre printed
B) Account number to be stamped
C) Investor should fill in target account id
4 .Question – The percentage of funds that should be invested in unlisted companies is
Correct Answer – 74%
5 .Question – The merchant bankers should act as ___________ of the investor’s money and put a lot of responsibility on them.
Correct Answer – Custodian
6 .Question – Constant change would be one of the reasons for failure of corporate governance
Correct Answer – TRUE
7 .Question – RBI permitted all commercial banks, financial institutions and large corporate to issue certificate of deposits.
Correct Answer – FALSE
8 .Question – The obligations of a company in a share buyback are
Correct Answer –
A ) The offer letter should be contain true, factual and material information and should not be misleading
B ) The company must pay the consideration only the way of cash
C) The company should not issue any fresh securities including bonus shares till the date of the closure of the offer.
9 .Question – The VC’s to flourish requires a well developed _____________ .
Correct Answer – Capital market
10 .Question – The underwriter is paid
Correct Answer – Commission
11 .Question –
Correct Answer –
A ) Business analysis Determinates of revenue growth
B ) market position of the company Nature and basis of competition
C ) Operating advantage of the company Technology risk
D ) Financial risk analysis Interest coverage
12 .Question – The procedure for action in case of default is
Correct Answer –
A ) Suspension of the certificate
B ) Mutual fund / AMC cease to exist
C) Subject to the direction of the board with regards to records
13 .Question – Renewal of portfolio fund on maturity shall be deemed as a fresh placement for a minimum period of
Correct Answer – 1 year
14 .Question – The acquirer is required to appoint a merchant banker before making a PA.
Correct Answer – TRUE
15 .Question – The acquirer is required to appoint a merchant banker before making a PA.
Correct Answer – TRUE
16 .Question – Letter of offer is?
Correct Answer –
A ) document addressed to the shareholders,
B ) containing disclosures of the acquirer/PACs,
C ) offer price
17.Question - Which company was responsible for spreading the equity culture in India ?Correct Answer - Reliance Industries
18.Question – Markets have moved away from Badla system to _________
Correct Answer –Derivatives Trading
19. Question -What are the norms for Approval of Housing finance companies by NHB?Correct Answer -Minimum paid up capital 1 crore , At least 2 directors , Any appointment of auditors
20. Question –These people suffered heavy losses during bad times of stock markets
Correct Answer –Small investors
20. Question –The minimum offer an acquirer can make is
Correct Answer –Min 20%
21. Question -A bidder can request for a transaction registration slip as the proof of his having entered the bid.Correct Answer -True
22. Question – The eligibility norms for an unlisted company for making a public issue are Correct Answer –
A ) Pre issue net worth not less then 1 crores in the last 3 years
B ) Track record of distributable profits for at least 3 years
C ) Issue size shall not exceed 5 time of its pre issue net worth
23. Question – The amount of net tangible assets, a company should have to make an IPO isCorrect Answer -3 crores
24. Question – The appointment of a _________ is mandatory in a offer process
Correct Answer – Merchant Banker
25. Question – The salient feature of Hire Purchase are
Correct Answer –
A ) Finance company purchases the equipment supplier and lets it on hire
B ) During the contract hirer can opt for an entry repayment and purchase the assts
C ) Hirer may be required to make down payment
26. Question – Acquirer cannot make an offer for less then 20% of the shares.
Correct Answer – True
27. Question – Some of the carious type of mutual fund schemes offered are
Correct Answer –
A ) Open ended vs. closed ended
B ) Pure income schemes
C ) Tax saving schemes
28. Question – The objective of public announcement is
Correct Answer – Ensure that the shareholder of the target company are aware of the exit opportunity available to them.
29. Question – The individual investor can use the book building facility for making an application.
Correct Answer – True
30. Question – No mutual fund under all its schemes should own more then _______ of any company’s paid up capital carrying voting rights.
Correct Answer – 10%
31. Question – The Indian stock markets have risen since
Correct Answer – Jun -03
32. Question – The share of the target company is deemed to be frequently traded.
Correct Answer – if the turnover in the preceding 6 month prior to the month in which PA is more than 5%
33. Question – The mutual funds issue
Correct Answer – Units
34. Question – In case of indirect acquisition of change in control, the PA shall be made by the acquire within three months of consummation of such acquisition.
Correct Answer – TRUE
35. Question – The preconditions for Trading on the net are
Correct Answer –
A ) A net connection
B ) A registered account with a broker and a demat account
C ) Bank payment gateway or online banking facility
36. Question – Crisil’s AAA rating stands for
Correct Answer – Highest safety
A ) Pre issue net worth not less than 1 crors in the last 3 years
B) Track record of distributable profits for at least 3 years
C ) Issue size shall not exceed five times of its pre issue net worth
38. Question – Crisil’s AAA rating stands for
Correct Answer – Highest safety
39. Question -What are the objectives of NHB?Correct Answer –
A) To promote, establish, aid in promotion and support of housing finance institutions,
B) To make loans advances or render any other form of financial assistance to focusing finance institutions,
C) To guarantee financial obligations
40.Question - What is the time frame to submit a report to SEBI for acquisition transactions arising out of firm allotment in public issues right issues etc?Correct Answer -21 days
Your Answer -21 days
41.Question – A mutual fund scheme shall not invest more than ______ of its NAV in unrated debt by a single issuer.Correct Answer – 10%
Your Answer -21 days
41.Question – A mutual fund scheme shall not invest more than ______ of its NAV in unrated debt by a single issuer.Correct Answer – 10%
42. Question – The difference in buying and selling dematerialized shares lies in
Correct Answer –
A) Process of delivery
B ) Receipt of securities
C ) Pledging the share
43.Question – The merchant banker will incorporate in the letter of offer the comments made by SEBI and then send _________ days from the date of PA to all shareholders whose name in register in the companyCorrect Answer – 45
45 .Question – SEBI has a prescribed format of application for various reports or documents. Correct Answer - TRUE
46 .Question – Correct Answer
A) Inter corporate deposit Source of funds for finance
B) Leasing Service tax imposed on interest
C) Stock on Hire Hire purchase price less the
D) Insurance In faver of lessor and lessor’s
E)
47. Question – The reason for not introducing rolling settlements earlier in India was
Correct Answer – Lack of depositories
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