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IEWM A2 (CO3)
ALL QUESTIONS ARE COMPULSORY
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CHANAKYA
TAKSHASHILA
EKLAVYA
GURUKUL
Which of the following measures are not taken by SEBI for protecting Mutual Fund investors
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1 point
Mandating minimum level of diversification
Ensuring that funds are invested only in securities approved by SEBI
Ensuring that funds are not used to favor some companies / groups
Tracking securities of each schemes of Mutual Fund
If an NAV of a scheme grows from Rs. 10/- to Rs. 40/- in 3 years, what could be the CAGR
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1 point
10%
100%
58.74%
48.74%
STT is payable on
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1 point
Equity funds
FMPs
Debt funds
All of the alternatives
When comparing fund's performance with that of its peer group, following cannot be compared
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1 point
Two debt funds with 5 year maturities
Broad based equity fund with an IT sector fund
Bond fund with a bond
Gilt fund with a Govt. Security
Exchange Traded Funds are alternative to
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1 point
Actively managed Debt fund
Index tracker
Actively managed Equity fund
Actively managed Asset Allocation fund
Cut-off time for purchases / switches / repurchase of units of Mutual Funds are
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1 point
Agreed between AMC & Distributors
Agreed between AMC & Registrar and Transfer agents
Prescribed by SEBI
Prescribed by AMFI
Which of the following are short term debt securities issued by corporate
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1 point
Commercial Papers
Treasury Bills
Certificate of Deposits
Secured Debentures
Which of the following with regards to Board of Trustees of a Mutual Fund is true
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1 point
They act as trustees to protect the interest of investors
They manage portfolio of investor to ensure that they do not suffer any loss
They float new schemes for investors
They empanel distributors for marketing Mutual Funds
Wealth preserving affluent investor is likely to invest in
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1 point
Equity & Equity related mutual funds
Physical Gold
Bank Fixed Deposits
Debt funds or fixed income securities
Annual yield on RBI relief bond is
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1 point
9.50% pre tax
9.50% post tax
8.50% post tax
8.50% pre tax
An investor in the close ended fund cannot do the following
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1 point
For emergency requirement, sell through the Fund House
Sell the fund any time through the stock exchange
Buy the fund during the Initial Period of offer
Monitor the performance of the scheme
An open ended mutual fund is one
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1 point
That invest in Stock Exchanges
That invest in Financial Assets
Where investor can purchase / sell at all times
Units can be purchased only through brokers of Stock Exchanges
Due diligence of distributor is the responsibility of
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1 point
Mutual Fund / AMC
SEBI / Mutual fund
Mutual fund / Registrar of company
SEBI / AMFI
AMC of a Mutual Fund will do all except
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1 point
Undertake Advisory services or Financial consulting
Appoint Auditors to maintain their accounts
Empanel distributors for marketing Mutual Funds
Invest in various commodities
Information regarding which category of investors can invest in Mutual Fund is given in
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1 point
Offer Document
SAI
DIN
MIN
If a scheme is launched in 2nd month of financial year the 1st update of SID is due within
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1 point
Within 3 months of the end of financial year
Within 3 months from the beginning of next financial year
Within 3 months from the end of the next financial year
Within 6 months of the end of the financial year
Which of the following is untrue of Financial goals
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1 point
Buying a home
Winning a lottery
Planning for early retirement
Planning for child education
Collection and payment of funds is the responsibility of
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1 point
Custodian
Registrar & Transfer agent
AMC
Trustees
Maximum amount that can be invested in Senior Citizen Savings Scheme is
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1 point
Rs. 5 lacs
Rs. 10 lacs
Rs. 15 lacs
Rs. 20 lacs
Which of the following is not technically classified as Equity Fund
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1 point
Arbitrage Fund
Thematic Fund
International Fund
Dividend Yield Fund
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