LIST OF ATTEMPTED QUESTIONS AND ANSWERS (CM-4)GM

YOUR ANSWER TRUE

MULTIPLE CHOICE MULTIPLE ANSWER

QUESTION WHAT IS DEMATERIALIZATION ?

CORRECT ANSWER PHYSICAL CERTIFICATES CONVERTED INTO ELECTRONIC FROM , CREDITED INTO
INVESTORS ACCOUNT WITH HIS/ HER DP
MULTIPLE CHOICE SINGLE ANSWER
QUESTION SEBI IS INVESTIGATING THE INSIDER TRADING ANGLE IN CASE OF WHICH
COMPANY?
CORRECT ANSWER TATA FINANCE

YOUR ANSWER TATA FINANCE

SELECT THE BLANK

QUESTION A ________ MEANS ANY PERSONS CONNECTED WITH A COMPANY AND WHO IS
REASONABLY HAVING ACCESS TO UNPUBLISHED PRICE SENSITIVE INFORMATION.
CORRECT ANSWER INSIDER

YOUR ANSWER INSIDER

SELECT THE BLANK

QUESTION SECURITIES OFFERED IN A PLEDGE CAN CHANGE IF A ________ AGREES.

CORRECT ANSWER PLEDGEE

YOUR ANSWER DEPOSITARY

SELECT THE BLANK

QUESTION WHEN ONE DECIDES TO HAVE THE SHARES IN AN ELECTRONIC FORM ONE HAS
TO APPROACH ________.
CORRECT ANSWER DP

YOUR ANSWER DP

SELECT THE BLANK

QUESTION A MUTUAL FUND SCHEME SHALL NOT INVEST MORE THAN ________ OF ITS NAV IN
UNRATED DEBT BY A SINGLE ISSUER.
CORRECT ANSWER 0.1

YOUR ANSWER 0.5

TRUE/FALSE
QUESTION A PORTFOLIO MANAGER NEED NOT NECESSARILY SELL OR PURCHASE
SECURITIES SEPARATELY FOR EACH CLIENT.
CORRECT ANSWER FALSE

YOUR ANSWER TRUE

MULTIPLE CHOICE MULTIPLE ANSWER

QUESTION WHAT ARE THE ELIGIBILITY NORMS FOR A LISTED COMPANY FOR MAKING A
PUBLIC ISSUE?
CORRECT ANSWER IF THE ISSUE SIZE IS LESS THAN FIVE TIMES PRE ISSUE NET WORTH , IF THE
ISSUE SIZE IS MORE THAN OR EQUAL TO FIVE TIMES PRE ISSUE NETWORTH THEN
THE LISTED COMPANY TO TAKE BOOK BUILDING ROUTE , 60% OF ISSUE SIZE TO
BE ALLOTTED TO QIB'S
True / False

5. DRR is treated as part of general reserve for consideration of bonus issue of proposals.
True
False

True / False
Constant change would be one of the reasons for failure of corporate governance.

True
False

Select Answer from the List

51. As per SEBI regulations, PMS must not be involved in any litigation connected with Clients Securities markets
Commodities markets Banks.

Choose Any One.

What is the most important objective for an investor?

a) Profit maximization
b) Investments in high yielding securities
c) Place of funds through a reputed portfolio manager
d) Protection of the value of the investment

Choose Any One.

. What was the objective of the Kumarmangalam Birla Committee on Corporate Governance?
a) Enhancement of the long term shareholder's value at the same time protecting the interests of the other shareholders
b) Emphasises on the financial reporting systems
c) Decide the functions of the board and the shareholders of the company
d) Promote corporate fairness

WHAT IS THE DURATION OF SHORT TERM FUNDS IN THE INDIAN CONTEXT?