SEBI has the power to issue guidelines and regulations for which of the following?

Currency printing

Commercial banks' interest rates

Credit card regulations

Merchant bankers and stockbrokers

Which body collaborates with SEBI to regulate and develop the securities market in India?

�RBI (Reserve Bank of India)

IRDAI (Insurance Regulatory and Development Authority of India)

NSE (National Stock Exchange)

BSE (Bombay Stock Exchange)

What does SEBI's Insider Trading Regulations aim to prevent?

Unfair trading practices

Market volatility

Manipulation of interest rates

Misappropriation of public funds

Which of the following is NOT under the regulatory purview of SEBI?

Mutual funds

Stockbrokers

Insurance companies

Foreign portfolio investors

What is the main objective of SEBI's Prohibition of Fraudulent and Unfair Trade Practices Regulations?

Preventing price fluctuations

Protecting the interests of investors

Regulating foreign direct investments

Controlling corporate governance

Which of the following is NOT a subsidiary of SEBI?

NSDL (National Securities Depository Limited)

NSE (National Stock Exchange)

IRDAI (Insurance Regulatory and Development Authority of India)

What is the primary purpose of SEBI's listing regulations for companies?

Regulating accounting standards

Regulating stock prices

Protecting minority shareholders' interests

Issuing dividend guidelines

Which of the following is NOT a role of SEBI?

Conducting monetary policy

Protecting investor interests

Regulating stock exchanges

Prohibiting fraudulent and unfair trade practices

What is the primary objective of SEBI?

Promoting economic growth

Regulating the stock market

Controlling inflation rates

Managing fiscal policies

27. Which of the following fees is included in the Total Expense Ratio of a mutual fund?

Sales load

Brokerage fees

Management fees

All of the above

How is the Total Expense Ratio typically expressed?

As a percentage of the fund's NAV

In terms of the total assets under management (AUM)

In rupees per unit of the mutual fund

As a percentage of the fund's dividends

30. What does a low Total Expense Ratio in a mutual fund generally indicate for investors?

Higher costs

Higher potential returns

Lower fees

Lower risk

32. Which factor is NOT typically considered when calculating the Total Expense Ratio of a mutual fund?

Management fees

Custodian fees

Brokerage fees

Dividend payouts

How can a higher Total Expense Ratio impact the long-term growth potential of an investment in a mutual fund?

It accelerates growth due to increased fund management

It has no impact on long-term growth potential

It can significantly reduce the overall returns on the investment

It reduces the risk associated with the investment

Which factor might cause fluctuations in the Total Expense Ratio of a mutual fund?

Changes in market interest rates

Fluctuations in the NAV

Changes in the fund's assets under management (AUM)

Investor withdrawals

1. What is the primary role of a Registrar and Transfer Agent (RTA) in the context of mutual funds?

Managing the fund's portfolio

Distributing dividends to investors

Marketing mutual fund schemes

Advising on investment strategies

Which regulatory body oversees the functions and operations of Registrar and Transfer Agents in the mutual fund industry in India?

AMFI (Association of Mutual Funds in India)

IRDAI (Insurance Regulatory and Development Authority of India)

SEBI (Securities and Exchange Board of India)

) RBI (Reserve Bank of India)

Which statement accurately describes the role of RTAs in mutual funds?

They make investment decisions on behalf of investors

They facilitate administrative functions like investor services and record-keeping

They manage the NAV (Net Asset Value) of mutual fund schemes

They regulate the performance of mutual fund managers

5. What service do Registrar and Transfer Agents offer regarding change of address or bank details of mutual fund investors?

They update the details in the investor's account

They reject such requests to maintain consistency

They charge a fee for address changes

They redirect these requests to mutual fund managers

What is the significance of Registrar and Transfer Agents in handling investor grievances in mutual funds?

They prevent investor grievances from occurring

They compile and address investor complaints efficiently

They charge investors for filing grievances

They report grievances to the stock exchange

How are Registrar and Transfer Agents compensated for their services in mutual funds?

Through a percentage of the fund's NAV

Fixed government subsidies

Commissions from mutual fund managers

Investor-paid service charges

Which statement accurately describes the handling of KYC (Know Your Customer) compliance by Registrar and Transfer Agents in mutual funds?

They conduct KYC for investors but do not maintain the records

They maintain KYC records and ensure compliance of investors

They don't involve themselves in KYC procedures

They share KYC records with other financial institutions without consent

How do Registrar and Transfer Agents facilitate the process of transmission of mutual fund units?

By investing in diverse asset classes

By transferring units to a legal heir or nominee after the death of the investor

By selling units to another investor

By converting physical units into electronic form

In the context of mutual funds, what role do Registrar and Transfer Agents play in processing corporate actions like dividends and bonus issues?

They propose and implement corporate actions

They process and distribute benefits to mutual fund investors

They recommend whether corporate actions should be taken

They handle investment redemptions during corporate actions

Mutual Fund Investors need to for compliance of Foreign Account Tax Compliance Act (FATCA) .

Get a AMFI Certificate

B. Self Certify

C. Get a CA Certificate

The trustees supervise the functions of a mutual fund in the beneficial interest of

Investors

The Asset Management Company

The Sponsors

D. Securities and Exchange Board of India

Which of the following statements is True ?

Commission for B-30 and T- 30 locations are equal

Commission paid for T-30 locations are higher than B-30 locations

Commission for B-30 and T-30 locations may be same or differ are at the discretion of Registrar and Transfer Agents (RTA)

Commission paid for B-30 locations are higher than T-30 locations

In case an investor jointly holding a mutual fund folio , wants to change the registered e- mail id ,then the change request application is to be signed by

Any one of the joint holders

Any two of the joint holders

All joint holders

First holder

For subsequent transactions under an existing mutual fund folio. The investor can use a/ an

Transaction Slip

Bank Slip

Application form

R&T slip

UBO refers to

Ultimate Beneficiary of Ownership

Unique Beneficial Owner

Ultimate Beneficial Owner

Ultimate Buyer and Owner

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