3. SEBI has recently allowed book building upto what extent ?

1
2
1.5
0.5

9. The issue price for placement portion and net offer to public are not the same.
TRUE / FALSE

18.
1. Overall economic 1. Provided to expand initial capital
conditions
2. Minimization of taxes 2. Investors ensures at the time of
structuring the deal
3. RS 25000 3. SEBI application fee
4. First stage financing 4. Achieving future liquidity
5. Factor for obtaining value of a firm
6. Voting control
What is the main objective of the promoting Discount and finance house of India
21.
(DFHI) ? pg 29

Increasing transactions of money market assets

Act as a nodal agency
Monitor the money market operations
To control inflation by mopping up the liquidity in the money market

29. How many members are appointed by the central government?

2
3
4
5

34. The right to buy is called .

42. is an international credit rating company.

33.
 1. Inter corporate 1. Sources of funds for finance companies
deposit
2. Leasing 2. Hire purchase price less the installments
received
3. Stock on hire 3. Service tax imposed on interest
4. Insurance 4. In favor of lessor and lessor's lenders in lease
agreement
5. Liquid asset
6. Current liability

43. What are the requirements regarding promoter's contribution and lock in?

In case of IPO, promoters have to necessarily offer at least 20% of the post issue capital
In case of listed company promoters shall participate either to extent of 20% of proposed or
post issue
In case of any issue of capital the minimum contribution shall be locked in for a period of 3
years
In case of any issue of capital the minimum contribution shall be locked in for a period of 10
years

44. What are the salient features of Hire Purchase ?

Finance company purchases the equipment supplier and lets it on hire

During the contract hirer can opt for an early repayment and purchase the asset
Hirer may be required to make down payment
Hirer buys the asset from the hirer directly

45. The portfolio manager has to place the funds of all their clients in a separate account
to be maintained by them with .

48. The setting up of NSE consists of:-

Set up by IDBI
Equity paid up capital of Rs25 crores
Started operations in June 1994
There is a trading floor in this exchange
 1. MS Verma committee 1. FY 2003 - 03 Dividend Rs187 crores

2. Hero Honda 2. MIBOR introduced

49 3. VSNL 3. FY 2003 - 03 Dividend Rs172 crores
4. Castrol 4. FY 2003 - 03 Dividend Rs145 crores
5. Amendment to SCRA
6. Dual Flotation

1. 0.57 1. Largest foreign Currency deal

2. 0.45 2. FII's total free float sex and NIFTY

50 3. $ 476 mn 3. FII free float stock NIFTY companies
4. 10 4. Global investors pumping funds in India Specific Funds
5. FII current free float sensex company
6. HDFC foreign currency
51.
1. Dutch Auction 1. Siphoning of excess cash by the
promoters
2. Open market purchases 2. No minimum price stipulation
3. Companies holding more than 3. Can be delisted
90% equity
4. Share buy back is a way of 4. Returning surplus cash to the
shareholders
5. Have to consider buy back
6. Price of the Buy back is done by the
shareholders
52.
1. Factors influencing portfolio 1. Portfolio Manager must fulfill the capital
decisions adequacy norms
2. Code of conduct- Portfolio 2. Collection of assets
Manager
3. SEBI Regulations 3. Observe high standard of integrity and
fairness
4. Portfolio 4. Collection of shares and stocks
5. Business and Market risks
6. To make timely decision regarding sale and
purchase of securities
The Kumarmangalam Birla report stressed on the importance of with respect to
56 AGM's

53.
1. Factors influencing portfolio 1. Collection of shares and stocks
decisions
2. Code of conduct- Portfolio 2. Observe high standard of integrity and
Manager fairness
3. SEBI Regulations 3. Business and Market risks
4. Portfolio 4. To make timely decision regarding sale and
purchase of securities
5. Portfolio Manager must fulfill the capital
adequacy norms
6. Collection of assets

1. Objective of Audit committee 1. Decision making

2. Reasons of failures of corporate 2. Should effectively participate in

governance in spite of norms general body meetings
3. Functions of Chief Executive, ED, 3. Lack of profitability
Managers
4. Shareholders 4. Look into defaults to depositors
creditors shareholders and debenture
holders
5. Superficial commitment to vision,
mission and values
6. Assisting the board in decision
making process