NISM Series II B - Registrar and Transfer Agents (MF) Certification Paper 04
| Q1.What is the core function of an AMC? |
| Appointing MF agents and marketing |
| Customer service |
| Fund Management |
| Operations |
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| Q2.When an investor makes investment by a demand draft, the mutual fund bears the charges incurred to buy the DD and treats the gross amount as the ___. |
| redemption amount |
| income |
| expense |
| amount invested. |
| Q3.Which NAV will be applicable for liquid funds if clear funds are available and the funds can be deployed the same day? |
| NAV of day T |
| NAV of day T + 1 |
| NAV of day T - 1 |
| NAV of day T +3 |
| Q4.Which of these facilities is NOT available to the Preference Shareholders ? |
| Participation in the management of the company |
| Preference in receiving dividends over equity shareholders |
| Preference in repayment of capital |
| Fixed-rate of dividend as mentioned during the issue of these shares |
| Q5.Who links the information given by the investor to the folio number? |
| The AMC |
| The Clearing Bank |
| The Point of Collection center |
| The R&T agents |
| Q6.___ impressions are made by the time-stamping machine on the transaction documents. |
| True |
| 2 |
| 3 |
| 4 |
| Q7.___ are equity funds that invest in all segments of the equity market. |
| Large Cap Funds |
| Sectoral Funds |
| Diversified Funds |
| Mid Cap Funds |
| Q8.A change in bank mandate application by a corporate investor has to be signed by ___. |
| The Chairman |
| The Managing Director or the Company Secretary |
| The authorized signatories |
| The auditors |
| Q9.A mutual fund cannot have __ liabilities on its balance sheet. |
| Long-term |
| Short-term |
| Medium-term |
| All of the above |
| Q10.A mutual fund scheme may appoint one or more collecting bankers - State True or False? |
| True |
| False |