NISM MUTUAL FUND FOUNDATION 4

Q (1): 

SEBI restricts mutual fund investments in companies forming part of the same group as the AMC. This is:

  not True

  in the interest of investor protection

  applied only to some mutual funds, not all

  not favourable to investors at all

Q (2): 

&p>Dematerialization is a process by which _________________.&/p>

  <p&a)converting your physical shares and securities into digital or electronic form<

  <p&b)electronic holdings converted into physical certificates.<

  <p&c) Mutual fund units are held through the power of attorney<

  <p&d) Mutual fund units are offered as security for the loan<

Q (3): 

SIP is a:

  Method of regular investment

  Name of a mutual fund

  Brand of Tea Stock

  None of these

Q (4): 

Stock exchange brokers are permitted to distribute mutual funds without the requirement of passing the certifying test.

  (A) True

  (B) False

Q (5): 

Tangible assets can also be called as ______________

  Physical assets

  Financial assets

  Non-physical assets

  Real assets

Q (6): 

The AMC should include all the disclosures that are material to the investment risk

  (A) True

  (B) False

Q (7): 

The circumstances for refund of investment in the initial offer and period within which refund must be carried out are not specified in the offer document, but only on the application

  (A) True

  (B) False

Q (8): 

The difference between the yield on Gilt and the yield on a non-government Debt security is called

  YTM

  Yield Spread

  Call to Yield

  Floating Rate

Q (9): 

The entity that SEBI does not regulate is

  share registrars

  mutual funds

  stock exchanges

  non-banking finance companies

Q (10): 

The following need not be covered in a Key Information Memorandum

  Risk Factors

  Opening, Closing and earliest Closing Date of the offer

  Disclaimer Clause

  Functions and responsibilities of the sponsor, trustees, AMC and Custodian responsibilities

Q (11): 

The head of expenses are decided by

  SEBI

  AMC

  Trustees

  Stock Exchange

Q (12): 

The largest corpus of investable funds in India is with

  Bank-owned mutual funds

  Private Sector mutual funds

  UTI

  Insurance Companies

Q (13): 

The minimum height of the disclaimer statement on hoardings/ posters should be _______

  18 inches

  8 inches

  8 centimeters

  18 centimeters

Q (14): 

The NAV of a mutual fund: