14. ………………appears to have an important role in the restructuring and
liquidation of companies that are in distress.
Correct : A. Financial Intermediary
15. …………….banker is any person who is engaged in the business of issue of management either by making arrangement regarding selling, buying, securities to manager.
Correct : A. Merchant
16. …………………..banking is the development of banking from commerce which
frequently encountered a prolonged intermediate.
Correct : A. Merchant
17. An outstanding development in this sphere was the conversion of the
……………
Correct : A. Industrial Finance Corporation
18. DFIs stands for…………….
Correct : A. Development financial Institutes
19. The bonds issued by the DFIs were no longer eligible as…………….assets for
banks.
Correct : A. SLR
20. The factors which had adversely affected the profitability of the banking
system were partly external is termed as ………………
Correct : A. macro –policy environment
21. The factors which had adversely affected the profitability of the banking
system were partly internal is termed as ………………
Correct : A. staffing and branch spread
22. NBFCs Stands for
Correct : A. non banking financial corporations
23. NBFCs are partly ………… and partly……………..
Correct : A. fees based and fund based
24. …………….are emerging as the backbone of Indian Capital Market.
Correct : A. Mutual Fund
25. The present structure consists of domestic mutual funds sponsored by the
……………
Correct : A. UTI
26. ……………..are encouraged, both in public and private sectors and they have
been permitted to invest overseas.
Correct : A. Mutual Funds
27. Secondary market represented an institutional mechanism was ………………
Correct : A. inadequate
28. SEBI stands for ……………….
Correct : A. security exchange board of India
29. CDs stands for ………… and CPs stands for…………..
Correct : A. certificate of deposit & commercial paper
30. …………………are appointed by the issuing companies in consultation with
the merchant bankers.
Correct : A. underwriters
31. Underwrites are appointed by the issuing companies in consultation with
the …………………
Correct : A. merchant banks
32. In …………………this case the issue is underwritten by two or more
underwriters jointly.
Correct : A. joint underwriting
33. Under ………………..this case involves more than one underwriters.
Correct : A. sub underwriting
34. ……………..in this case underwriter agrees to take up a specified number of securities.
Correct : A. firm underwriting
35. …………..is empowered to carry out the inspection of the bankers to the issue with a view to protecting the investors’ interest.
Correct : A. RBI
36. A ………….is a deed which is executed by the company in favour of the trustees named for the benefit of the debenture holder.
Correct : A. trust deed
37. A scheduled bank carrying on ……………..
Correct : A. commercial activity
38. ………………is mandatory in order to act as debenture trustee.
Correct : A. . Certificate
39. In primary MARKETS the first time issued shares to be publicly traded, in
stock market is considered as...
Correct : C. initial public offering.
40. The stock or shares that are also sold to investors without transacting through financial institution are classified as
Correct : A. direct transfer
41. The type of financial security which have linked payoff to another issued
security is classified as –
Correct : B. derivative security
42. In primary markets the property of shares which made it easy to sell newly
issued security is considered as …
Correct : A. increased liquidity
43. The money market where debt and stock are traded and maturity period is
more than a year is classified as….
Correct : B. capital markets
44. The example of derivative securities include.
Correct : D. all of these
45. In foreign financial markets , the growth is represented by the factors such
as --
Correct : C. a & b
46. The services provided by financial institutions as providing financing to any specific sector of economy such as real estate business are classified as----
Correct : D. factor allocation
47. The type of market in which securities with less than one year maturity are
traded is classified as…
Correct : A. money market
48. The type of structured market through which the funds flow with the help
of financial instruments such as bond and stock is classified as –
Correct : A. financial market
49. The process of selling and buying of stocks and bonds is classified as
Correct : B. e trade
50. In capital markets the major suppliers of trading instruments are—
Correct : A. government and corporation
51. The market in which transactions are done through computers and
telephone without any specific location are classified as ----
Correct : C. over the counter markets
52. The type of financial markets in which the corporation issues new funds to
raise funds is classified as
Correct : B. primary market
53. The saving banks, insurance companies, mutual funds and commercial
banks are all examples of –
Correct : C. financial institutions
54. The additional debt instrument or equity instruments of publically traded
firm are included in the markets classified as –
Correct : B. primary market
55. The financial instruments of public markets include –
Correct : C. shares
56. The centralized market place where agents can have efficiently and
quickly transaction is classified as –
Correct : A. secondary market
57. The ability of an asset to be converted into cash very quickly is classified
as –
Correct : C. liquidity
58. The institutions classified as depository once and have loans as their
major assets are classified as
Correct : A. commercial banks
59. Merchant bankers are ------
Correct : C. Neither merchants nor banks
60. All type of activities which are of a financial nature are called
‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : D. financial services.
61. Find out odd one..
Correct : D. Purchase of raw materials.
62. The number of lead merchant bankers may not exceeds in case any issue
of , issue size less than Rs.50crore,number of MBs ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : C. 2
63. R O C stands for ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : A. Registrar of companies
64. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is a written consent or authorization representing or
acting on behalf of an individual in matters of business, private affairs or other legal matters.
Correct : D. Power of authority.
65. Lead merchant banker should advice the issuer to enter into ‐‐‐‐‐‐‐‐ with a
particular intermediary for the purpose of issue management.
Correct : A. Memorandum of understanding
66. The number of lead merchant bankers may not exceed in case any issue of,
issue size 200crore to 400crore.
Correct : D. 5.
67. Post issue management activities include:‐
Correct : D. All of these.
68. Pre‐issue management activities include:‐
Correct : D. None of these.
69. Merchant bank can help an organization specifically in promotional
functions, ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : D. All of these.
70. Role of merchant bankers ‐‐‐‐‐‐‐‐.
Correct : D. All of these.
71. ‐‐‐‐‐‐‐‐‐‐‐‐‐ is a financial intermediary who helps to mobilize and transfer
capital from those who possess it to those who need it.
Correct : B. Venture capital
72. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is a method of renting assets.
Correct : B. Lease
73. ‐‐‐‐‐‐ is the opinion of the rating agency on the relative ability and willingness of the issuer of by instrument to meet the debt service obligations as and when they arise.
Correct : A. Credit rating
74. The features of hire purchase:
Correct : D. All of these.
75. Discounting of bills of exchange is an attractive ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ based
financial service provided by the finance companies.
Correct : B. Fund
76. Factoring is method of raising ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ finance through
account receivable credit offered by commercial banks and factors.
Correct : C. short term
77. Insurance is a ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : C. Agreement
78. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is a fund based financial service, provides resources of finance receivable as well as facilities the collection of receivables.
Correct : D. Factoring.
79. Financial service companies exclude ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : C. Sole proprietorship
80. Specialized financial institution, are also known as ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : D. Development bank.
81. Financial services offered financing risk project e.g. Risk capital scheme of
I F C I venture capital fund of I D F I etc. to provide ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
Correct : B. Venture capital
82. Identify odd one.
Correct : D. I C I C I.
83. Services sector in India is booming and has become one of the biggest --
………..areas.
Correct : A. money spinning areas
84. The term…………… refers to the mobilizing and allocation of savings.
Correct : A. financial services
85. ………………of large public sector undertakings.
Correct : A. Port folio management
86. ………………has made way for the entry of innovation and advanced financial
products in India.
Correct : A. globalization
87. If funds sells securities that have increased price the fund has………….. Gain.
Correct : A. capital gain
88. ……….. …..is define as the market value of Mutual Fund Scheme’s assets net of its Liability.
Correct : A. NAV
89. Funds that can sell and buy units at any point in the time are known as ……..
Correct : A. open end fund
90. Funds that can sell a fixed number of units only during the new fund offer
period are called as ………
Correct : A. Closed end fund
91. ………refers to the load changed to an investors when he /she enters into a
scheme.
Correct : A. Entry load
92. ……………… known as back end load.
Correct : A. Exit load
93. Which are not included in entry load, Exit load, deferred load is known as
……
Correct : A. open end fund
94. ……………are funds whose portfolio consists of a blend of equities, debts, and
money market securities.
Correct : A. Hybrid fund
95. Exchange traded funds give investors joint benefits of ……. And …… mutual
fund.
Correct : A. close end & open end
96. ETF stands for……………..
Correct : A. Exchange traded funds
97. The finance ministry is supervisor of …… & ……
Correct : A. RBI & SBI
98. Association of mutual fund in India was incorporated on…
Correct : A. 22nd Aug 1995
99. ………is keeps the safe custody of the valuables of customers or clients or
investors.
Correct : A. Custodian
100. ………………….. means financial transaction where exporter sells his
accounts receivables to the 3rd party @a lesser rate in exchange for instant cash.