NISM Series II B - Registrar and Transfer Agents (MF) Certification Paper 13

 56
Q1.For a nonfinancial transaction, the transaction slip is to be signed by __.
 only the first holder
 by any holder
 
Q2.Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency - State True or False?
  True
  False
 
Q3.Which type of risk does a Gilt Fund have?
 Credit Risk
 Interest Rate Risk
 
Q4.For which purpose is the Offer Document filed with SEBI?
 for Validation
 for Approval
 
Q5.On completion of a New Fund Offer (NFO) allocation, when is the NAV set at face value?
 On the NFO close date
 On the NFO open date
 
Q6.State True or False - Mutual funds pay dividends in cash.
  True
  False
 
Q7.Association of Persons undertakes a set of activities as defined by the terms of their _____ .
 Deed
 Memorandum
 
Q8.Generally, a bond with a higher credit rating will ____.
 be offered by NIFTY group companies
 have a long tenure
 
Q9.Whose approval has to be obtained by the sponsor to appoint the trustees?
 RBI
 AMFI
 
Q10.Who does the transactions on behalf of the Hindu Undivided Family (HUF)?
 The Father
 The Father or Mother

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