B.Com. (Investment Management) SEM III 2018 2019 Oct 2019 INV. MGT FUNDANENTALS OF CAPITAL MARKET Question Paper - Mumbai University | munotes

Questions asked in this paper

1. Q1 a. Fill in the blanks: (Any 08) 8 marks
   • 1. SEBI stands for
   • 2. is that part of the Capital Market that deals with the issue of new securities
   • 3. is a market where buyers and sellers engage in trade of financial securities
   • 4. There stock exchanges at present in India
   • 5. is the document evidencing a debt or acknowledging it and any document which fulfills either of these conditions
   • 6. IOSCO stands for ‘
   • 7. PFRDA stands for
   • 8. The persons registered with SEBI as Debenture Trustee under SEBI (Debenture Trustee) Regulations, 1993 are only eligible to be appointed as of collective
   • 9. is the instrument issued by companies only and can also be obtained in primary or secondary market
   • 10. FCEB stands for
2. Q1 b. State whether the following is true or false: (Any 07) 7 marks
   • 1. The Capital Market has two interdependent and inseparable segments, the primary market and the secondary market
   • 2. The Collective Investment Management Company should not undertake any activity other than that of managing the scheme
   • 3. Equities are also known as common stock
   • 4. ADR are denominated and traded in US Dollar
   • 5. The first mercantile credit agency was set up in New York in 1859
   • 6. The Stock Exchanges at Chennai, Jaipur, Hyderabad and Pune were incorporated as companies limited by guarantee
   • 7. NSE was established in 1994
   • 8. Sensex was the oldest market index for equities in India
   • 9. SEBI became independent body in 1993
3. Q2 a. State the different instruments of Capital Market. Explain. 8 marks
   • b. State the functions of Capital Market. 07
   • c. What are the different features/ nature of credit ratings? 15
4. Q3 a.State different types of securities and deliveries in stock exchange. Paper Subject Code: 79911 Fundamentals of Capital Market 8 marks
   • Q.P. Code: 30962
   • b. Write in brief trading mechanism of capital market. 07
   • c. What are the functions of Stock exchange? 15
5. Q4 a.What are the conditions of eligibility for collective investment scheme? 15 marks
   • b. Explain the appointment of intermediaries involved in Euro issues in 15
6. Q5 a. Explain the manner and form, voting rights and proceeds of issue of depository receipts under Companies (Issue Of Global Depository Receipts) Rules, 2014. 08
   • b. What is depository receipts? Why do company issue depository receipts. 07
7. Q5 Write short notes on: (Any 03) 15 marks
   • a. Explain market making
   • b. Advantages of credit ratings to the company

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