Attempt ANY
[14 marks]Mention any two differences between primary and secondary markets.
[ marks]Mention the functions of SEBI in regulating merchant banking.
[ marks]Define underwriting in the context of public issues.
[ marks]What is meant by ‘Hire Purchase Financing’?
[ marks]What is IRDA? Briefly explain its objectives and functions.
[ marks]What is the role of a merchant banker?
[ marks]What is meant by ‘Book Building’?
[ marks]What is a dematerialized account (Demat account)?
[ marks]Multiple Choice Questions ( All Compulsory ) (1) Which of the following is a fund-based financial service?
[14 marks]Advisory services
[ marks]Leasing
[ marks]Portfolio management
[ marks]Credit rating (2) Stock broking services are regulated in India by?
[ marks]RBI
[ marks]Ministry of Finance
[ marks]SEBI
[ marks]Explain the classification of financial services with suitable examples.
[7 marks]Compare the performance and structure of two investment options: a mutual fund (growth option) and an ETF tracking the same index. Which one would you recommend for a short-term investor and why?
[7 marks]What are mutual funds? Explain the types of mutual fund schemes and their features.
[7 marks]Discuss the role and regulation of capital market services in India.
[7 marks]Highlight the key features of depository in India.
[7 marks]Discuss SEBI’s regulations related to merchant bankers in India.
[7 marks]What is merchant banking? Mention any five functions performed by merchant bankers.
[7 marks]"Capital market intermediaries play a critical role in investor protection." Discuss this statement with examples of how stockbrokers, depositories, and SEBI ensure investor confidence.
[7 marks]Define venture capital. Explain its stages and differentiate it from angel investing and private equity.
[7 marks]Define factoring. Explain any three types of factoring services.
[7 marks]What is credit rating? Describe its importance and advantages.
[7 marks]You are evaluating two lease options: Finance Lease (₹50,000/year for 5 years) vs Operating Lease (₹70,000/year for 3 years). Recommend the better option based on total cost and ownership implications. Page 3 of
[3 marks]IRDAI (3) Mutual Funds in India are regulated by?
[ marks]SEBI
[ marks]Ministry of Finance
[ marks]RBI
[ marks]IRDAI Page 1 of (4) ETFs differ from mutual funds mainly in that they are:
[3 marks]Not traded in markets
[ marks]Traded on stock exchange
[ marks]Illiquid
[ marks]only for institutional investors (5) CRISIL is a example of :
[ marks]Leasing companhy
[ marks]Mutual Fund company
[ marks]Credit rating agency
[ marks]Merchant banker (6) Amutual fund has total assets of ₹50,00,000 and liabilities of ₹5,00,000. There are 4,50,000 units outstanding. What is the NAV?
[ marks]₹10
[ marks]₹15
[ marks]₹5
[ marks]₹1 (7) Which of the following loan is highly secured?
[ marks]Cash Credit
[ marks]Overdraft
[ marks]Mortgage
[ marks]Education loan (8) The current CRR rate is :
[ marks]4%
[ marks]4.75%
[ marks]5%
[ marks]5.25% (9) Which is the most common risk faced by the lender?
[ marks]Market risk
[ marks]Credit risk
[ marks]Interest risk
[ marks]Liquidity risk (10) For managing receivables of Rs. 20 lacs and converting them into cash, which option may be adopted?
[ marks]Factoring
[ marks]Forfaiting
[ marks]Securitization
[ marks]None of the above (11) The most common way of raising equity is through?
[ marks]Rights issue
[ marks]Public issues
[ marks]Private placement
[ marks]all of the above Page 2 of (12) In India, the first depository to start operations was:
[3 marks]NSDL
[ marks]SEBI
[ marks]RBI
[ marks]CDSL (13) What among the following is required for developing a new product in its initial stages?
[ marks]Start up capital
[ marks]Seed capital
[ marks]Second round financing
[ marks]None of the above (14) Which of the following is not a function of a merchant banker? A) Underwriting of shares B) Portfolio management C) Accepting deposits from the public D) Managing public issues
[ marks]