Who are the major investors in government securities market in India?

The SLR and CRR rates are decided by which of the following regulatory bodies?

Derivatives in which of the underlying assets are allowed in the Indian Market?

The merchant banker leading a public offer is popularly known as the ‘Lead Manager’. State whether True or False.

Which Act deals with laws relating to listed as well as unlisted Companies?

As per the SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, a certificate is valid for a period of ______ from the date of grant of certificate or revalidation as the case may be.

Which Act aims at prohibiting anti-competitive agreements, abuse of dominant position by enterprises and regulates combinations (acquisition, acquiring of control and M&A), which causes or likely to cause an appreciable adverse effect on competition within India?

A Merchant Banker applicant should have how many people in his employment who should be experienced to conduct the business of Merchant Banker?

The fees payable by the merchant banker on grant of certificate of registration should be by a demand draft in favour of ‘Association of Investment Bankers of India (AIBI)’ payable at Mumbai. State whether True or False.

Every merchant banker shall submit to SEBI complete particulars of any transaction for acquisition of securities of any Body Corporate whose issue is being managed by that merchant banker within ______ from the date of entering into such transaction.

SCORES system of SEBI does not deal with any complaints which fall under the purview of the other regulatory bodies i.e. IRDA, PFRDA etc. State whether True or False.

Who is a Qualified Institutional Buyer?

Which of the following ways are used by the Promoters to dilute/offload their holding in listed companies?

Under ASBA facility, investors apply in __________ by using their bank account.

Further Public Offer (FPO) can be made only through book building issues through the stock exchange route. State whether True or False?

Which of the following activities does the merchant banker have to perform in the process of Issue Management?

A promoter of XYZ company wants to raise resources through public issue. He was barred from accessing the capital market last year by SEBI on account of insider trading. Is he eligible to come out with public issue?

A specified security may have one or more warrant attached to it. State whether True or False?

Who appoints the accountants and the auditors who help in reviewing and auditing financials and preparing financial statement as per SEBI (ICDR) Regulations for inclusion in the Offer Document?

Which Act/Regulation prescribes the general obligations to be followed by Issuers and other intermediaries who are related with the process of issue management?

No advertisement shall be issued giving any impression that the issue has been fully subscribed or oversubscribed during the period the issue is open for subscription. State whether True or False.

Who is required to look into and monitor the redressal of the investor grievances, if any which has arisen during issue management process?

As per SEBI (ICDR) Regulation, the aggregate reservation on competitive basis for employees shall not exceed ___ percent of the post issue capital of the issuer.

Merchant Banker is involved in which of the following activities?

Merger is necessarily amongst two equal or comparable stature companies. State whether True or False.

Takeover is the acquisition of substantial _________ for the purpose of seeking management control of the company.

The SEBI (Substantial Acquisition of shares and takeovers) Regulations, 2011 ensures greater transparency, fairness, and equitable treatment to all investors. State whether True or False.

Which SEBI Regulation applies to delisting of equity shares of a company from all or any of the recognised stock exchanges where such shares are listed?

The escrow account opened for the purpose of fulfilling delisting requirements shall consist of either cash deposited with a scheduled commercial bank, or a bank guarantee in favour of the merchant banker, or a combination of both. State whether True or False?

The issuer and the merchant banker shall ensure that the security created to secure the debt securities is adequate to ensure ____ asset cover for the debt securities.

Department of Economic Affairs handles all matters related to the disinvestment of Government of India shareholding in Central Public Sector Enterprises. State whether True or False.