B.Com In Investment Management SEM III 2022 2023 Oct 2023 INV. MGT. FUNDAMENTALS OF CAPITAL MARKET Question Paper - Mumbai University | munotes

Questions asked in this paper

1. Q1 A. state whether the following sentences are true or false (any eight) 8 marks
   • i) SEBI is the regulatory body for financial market in India
   • ii) Stock of companies are traded in order to make profit
   • iii) Trading in financial market is facilitated by stock exchanges
   • iv) Margin is the money borrowed from a broker to purchase an investment
   • v) Financial system mobilizes funds from surplus holder to deficit units
   • vi) Money market deals with security which has a maturity of less than a year
   • vii) There is no financial market required in financial system
   • viii) Secondary market is also known as new issue market
   • ix) A place where a foreign exchange is bought and sold is called as foreign exchange
   • x) Trading volume is a technical indicator : B. Match the columns (any seven) (7 Marks)
   • vi) BSE. f. Security exchange board of India
2. Q2 A .Write the regulatory measures taken by SEBI to promote investors’ confidence
   • B . Explain features of developed capital market. 7
   • C. Explain how depository system works in India. 8
   • D. Write a note on factors influencing rating of instruments in financial market. Marks)
3. Q3 A. Explain stock exchange and its functions. 8 marks
   • B. Explain briefly trading mechanism in stock exchange. 7
   • C. What is marain trading and wnat are the significance of its. 8
   • D. Write a note on book closer and record date. 7
4. Q4 A . Write some features of collective investment scheme 1999. 8 marks
   • B. Write a note on termination of trustee ship. 7
   • C. Explain how to list and wind up the CIS 1999. 8
   • D. Write a note on unit certificates and transfer of units. 7
5. Q5 A. Explain the term depository receipt and state its types. 8 marks
   • B. Explain two way fungibility scheme with its benefits. 7
   • C. Write short notes on (any three) 15
   • i) Pricing of securities li) Distinguish between ACR and GDR
   • iv) Short selling

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