NISM Series II B - Registrar and Transfer Agents (MF) Certification Exam -1

Explore Additional Mock Tests Here

Q 1. ________ is an example of a Corporate Debt security. (i) Private placements (ii) Preference Shares

Only (i)

Only (ii)

Both (i) & (ii)

Neither (i) nor (ii)
 
Q 2. ____________ contributes to the capital of the AMC.

The sponsor

The Guardian

Manager

Custodian
 
Q 3. _______ holders are creditors of the company. (i) debenture holders; (ii) preference holders

Only (i)

Only (ii)

Both (i) & (ii)

None of these
 
Q 4. _________ is defined as ? the natural person or persons who ultimately own, control or influence a client and/or the persons on whose behalf a transaction is being conducted, and includes a person who exercises ultimate effective control over a legal person

Beneficial Owners

Broker

Agent

Manager
 
Q 5. __________ will be applicable for liquid funds if clear funds are available and the funds can be deployed the same day.

NAV for day T-1

NAV of day T+3

NAV for day T-3

NAV of day T+2
 
Q 6. ___________ has the responsibility of tagging the transactions to T-30 or B-30 locations.

R&T Agent

Depositor

AMFI

IRDAI
 
Q 7. ___________ is a fund created by the Ministry of Corporate Affairs to promote investors. awareness and protection of their interests. (i) The Investor Education and Protection Fund (IEPF) (ii) The Depositor Education and Protection Fund (DTPF)

Only (i)

Only (ii)

Both (i) & (ii)

Neither (i) nor (ii)
 
Q 8. ___________ is not announced when a debenture is issued. (i) The trading price of the debenture in the secondary market; (ii) The date on which the debenture will be redeemed

Only (i)

Only (ii)

Both (i) & (ii)

None of these
 
Q 9. ___________ is predefined in a mutual fund scheme.

Investment Objective

Investment Dividend

Investment NAV

Investment AUM
 
Q 10. ___________ provides the collection services to mutual funds.

Banks

Trustee

Guardians

Executors
 
Q 11. ___________ sends the Statement of Account to the investors on behalf of the mutual funds. (i) The R&T Agents (ii) The AMC

Only (i)

Only (ii)

Both (i) & (ii)

None of these
 
Q 12. ____________ are maintained to receive investments into schemes from investors.

Collection Accounts

Investment Accounts

Redemption Accounts

Expenses Accounts
 
Q 13. ____________ is a facility for periodic or recurring redemptions.

Systematic Transfer Plan (STP)

Systematic Withdrawal Plan (SWP)

Systematic Switch Plan (SSP)

None of these

 
Q 14. ____________ is the assurance that the information is reliable and accurate.

Integrity

Availability

Confidentiality

Resilience
 
Q 15. ____________ links the information given by the investor to the folio number.

pan card

Adhar card

driving license

None of above

Explore Additional Mock Tests Here