INTERVIEW SCHEDULE

1. Personal Profile
Name:
1.1) Age
(a) 20-30 [ ] (b) 31-40 [ ] (c) 41-50 [ ] (d) 51 & above [ ]
1.2) Gender
(a) Male [ ] (b) Female [ ]
1.3) Educational qualification
(a) High School [ ] (b) Graduate [ ] (c) Post Graduate [ ]
(d) Professional [ ] (e) Others [ ]

1.4). Occupation
(a) Entrepreneur [ ] (b) Professional [ ] (c) House wife [ ]
(d) Employed in Government [ ] (e) Employed in Private [ ] f) Retired [ ]

1.5) Monthly income

(a) 10000-25000 [ ] (b) 25001- 50000 [ ]
(c) 50001- 75000 [ ] (d) Above 75,000 [ ]

1.6) Marital Status-

(a) Married [ ] b) Single []

1.7) Type of Family

(a) Nuclear [ ] b) Joint []

1.8) Number of dependents on your income

(a)Up to Three [ ] b) Four [ ] c) Five and above [ ]

1.9) Your monthly financial requirement

(a) Fluctuate widely [ ] b) Fluctuate moderately [ ] c) Stable & fixed [ ]

1.10) Percentage of income you allot for savings and investments for future
(a) Below10% [ ] b) Between 10%-15% [ ] c) Between 15%-20% [ ]
(d) Between 20%-25% [ ]

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2.INVESTMENT PROFILE
2.1) During what period you concentrate more on your savings?
(a) Early Career Period [ ] (b) Mid Career Period [ ] (c) Retirement Stage [ ]
2.2) With what objectives you decide to invest in Securities Market.
(a) Dividends/Interest [ ] (b) Quick returns [ ] c) Capital appreciation [ ]
(d) Capital Security [ ] (d) Tax benefits [ ]
2.3) What is your percentage of investment in equity shares
(a) Below 5% [ ] (b) 5 – 10 % [ ] (c) 10 – 20% [ ] (d) Above 20% [ ]
2.4) You invest in securities market for
(a) Long term [ ] (b) Medium term [ ] (c) ) Short term [ ]
2.5) From which year you are dealing with the Securities market-
(a) Before 2000 [ ] (b) 2000- 2008 [ ] (c) After 2008 [ ]
2.6) In the Securities market you are
(a) An Investor [ ] (b) A Trader [ ] (c) Both [ ]
2.7) The pattern of Investment /Trading in the Securities Market
(a) Dial and trade [ ] b) Self-Online trading [ ] (c) Both [ ]
2.8) The number of Demat accounts you are having-
(a) One [ ] (b) Two [ ] (c) More than One [ ]
2.9) Do you adopt SIP (Systematic investment plan)
(a) Yes [ ] (b) No [ ]
2.10) Your portfolio composed of
(a) Blue chip stocks [ ] (b)Mid cap stocks [ ] (c) Small cap stocks [ ]
(d) Mixture of all [ ]
2.11) Do you alter your portfolio?
(a) Often [ ] (b) Rarely [ ] (c) Never [ ]
2.12) Reasons for holding stocks for long term
(a) Highly rewarding [ ] (b) Reputed company [ ] (c) Blue chip Stock [ ]
2.13) Have you subscribed any investment market alerts?
(a) Yes [ ] (b) No [ ]
2.14) Your risk taking attitude
(a) High [ ] (b) Medium [ ] (c) Low [ ] (d) Risk averse [ ]
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3. ATTITUDE TOWARDS SECURITIES MARKET
3.1 State your overall attitude towards securities market
(SA-Strongly agree, A-Agree, N- No idea, DA-Disagree, SDA – Strongly disagree)

Overall Attitude towards securities market SA A N DAA SDA

1 Appreciable means to mobilize people’s savings
2 Availability of investment avenues is adequate
3 Regulations of SEBI is remarkable
Existence of fairness and transparency of
4
securities trading
Indian standards are equivalent to international
5
securities market standards
Equal access to investors across the country
6
prevails
Availability of adequate information for
7
evaluating the securities
Screen based trading and rolling settlement
8.
makes the trading process easy
Services of intermediaries in securities market
9
is remarkable
Securities market analysis needs experience and
10
expertise knowledge
11 Securities market paves path for wealth creation.
12 Maximum profit at a minimum risk.
13 Participating in Securities market is a pride
14 Opportunity to make money within the four walls
15 Securities promotes entrepreneurship
16 Supports economical growth of the country
17 Trading in Securities ensures liquidity
18 Trading in Securities is a hedge against inflation
19 Suitable for home makers
Capital appreciation with a limited amount of
20
money

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3.2. Investment Avenues
(SA-Strongly agree, A-Agree, N- No idea, DA-Disagree, SDA – Strongly disagree)

S.N Statements SA A N DA SDA

o
The investment avenues you prefer
1 Stock market
2 Gold
3 Real Estate
4 Bank deposits
5 Insurance
6. Chit funds

4.PRE- INVESTMENT PATTERN

4.1 Awareness on Investment Analysis
(VH-Very high, H-High, M- Medium, L- Low, VL- Very low)

S.No Statements VHH H M L VL

Awarness about stock
1 Through Brokers
2 Through Friend
3 Through Family
4 Through Peers
5 Through Media
Sector Affairs
1 Market Analysis
2 Industry Analysis
3 Company Analysis
Economic Affairs
1 GDP
2 Inflation
3 Interest Rates
4 Budget
5 Tax Structure

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 S.No Statements VHH H M L VL
Industrial Affairs
1 Product Nature
2 Competition
3 Government Policy
4 Research & Development.
Company Affairs
1 Profitability
2 Change in Sales / Change in Cost
3 Depletion of Resources
4 Wage & Salary
5 Taxes
6 Capital Structure
Political and Environmental Affairs
1 Political Risk
2 Global market impact
3 National Affairs
4 International Affairs
Fundamental and Technical Affairs
1 Price of Stock
2 Stock P/E Ratio
3 Earnings per share
4 Stock Market Ratings
5 Face value of the share
6 Past Performance

4.2 Indicate the level of preference on the following Securities market products
(SA-Strongly agree, A-Agree, N- No idea, DA-Disagree, SDA – Strongly disagree)

S.No Securities market products SA A N DA SDA

1 Cash Market
2 Futures & Options
4 Commodities
5 Mutual Fund
6 Gold BeEs
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5.POST- INVESTMENT BEHAVIOUR
5. 1 Factors influencing Portfolio Construction
SA-Strongly agree, A-Agree, N- No idea, DA-Disagree, SDA – Strongly disagree)

S.No Statements SA A N DAA SDA

1. Geographical Location of the company
2. Size of the company
3. Brand Name
4. Ownership
5. Turn over ratio
6. Industrial Growth rate
7. Quarterly results
8. Market share value-high
9. Satisfactory Dividend
10. Recommendation of Analyst
11. Recommendation of Brokers
12. Recommendation of Financial Advisors
13. Recommendation of Peers
14. Financial report
15. Fundamental Analysis
16. Technical Analysis
17. Training Programs
18. Own Ideas
19. Media Coverage of the stock
20. Familiarity with the products and services
21. Expected Stock split
22. Face value of the share
23. Past Experience

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5.2 Capital Market Information

S.No Capital Market Information Investor Decision

1 Bullish Market Buy ( ) Sell( ) Hold ( )
2 Bearish market Buy ( ) Sell( ) Hold ( )
3 Results better than Expected Buy ( ) Sell( ) Hold ( )
4 Results below expectation Buy ( ) Sell( ) Hold ( )
5 Dividend announcement Buy ( ) Sell( ) Hold ( )
6 Bonus announcement Buy ( ) Sell( ) Hold ( )
7 Stock split announcement Buy ( ) Sell( ) Hold ( )
8 News of merger Buy ( ) Sell( ) Hold ( )
9 Expansion plans Buy ( ) Sell( ) Hold ( )
10 Diversification plans Buy ( ) Sell( ) Hold ( )

5.3. Services of the Brokers and Broking Agencies

Service quality of the Broking firms (SA-Strongly agree, A-Agree, N- No idea,
DA-Disagree, SDA – Strongly disagree)

S.No Services SA A N DA SDA

1 Send SMS after each transaction
2 Inform you regarding the market volatility
3 Send investment tips for trading
4 Send monthly statement of your portfolio
5 Give Suggestions in altering your portfolio
6 Force you to do Intraday
7 Trade on behalf of you
8 Help you to overcome the market risks
9 Arranged for any Investors programme
10 Brokerage charges- Reasonable
11 Trade in your account without your knowledge
12 Contact you regularly

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5.4. Profit Booking Situations
( SA-Strongly agree, A-Agree, N- No idea,DA-Disagree,SDA – Strongly disagree)
S.No Statements SA A N DA SDA
1 By investing in Equity Market
2 By trading in Put & Options
3 By doing Futures & Options
4 Under SIP
5 By doing Intra day
6 Selecting Blue chip companies
7 Selecting Mid cap stocks
8 Selecting Small cap stocks
9 Correct entry and Exit level
10 In the month of Jan, Feb, March
11 In the month of April, May, June
12 In the month of July, Aug, Sept
13 In the month of Oct, Nov, Dec
14 After attending training programmes

5.5. Changes in Life Style

SA-Strongly agree, A-Agree, N- No idea, DA-Disagree, SDA – Strongly disagree)

S.No Statements SA A N DA SDA

1 Total income has increased
2 Savings portion has increased
3 Able to plan for old age
4 Able to contribute for children's future
5. Able to lead a luxurious life
6. Able to contribute to family needs
7. Able to repay all the debts
8. Personal contacts has increased
9. Self Confidence has increased
10. Physical health has improved
11. Feel in secured
12. Freedom to think has enhanced
13. Tolerance level has improved
14. Clothing pattern has improved
15. Stress has increased

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