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    Important Q For Final Exam

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    Rama Sardesai
    The document discusses various topics related to mutual funds, depository systems, credit ratings, and securitization in India: 1. It asks to explain the functions of constituents of mutual fund organization structures in India, the contents of offer documents as per SEBI format, and the role and functions of participants in NSDL's depository design and NEST system. 2. It provides questions about NSDL bye-laws, requirements for DP business operations, differences between pass-through and pay-through certificates, differences between equity grading and assessment, and parties involved in securitization. 3. Additional questions cover definitions related to SARFAESI Act 2002, steps in off-market trade settlement, market settlement

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    Important Q For Final Exam

    Uploaded by

    Rama Sardesai
    14 views2 pages
    The document discusses various topics related to mutual funds, depository systems, credit ratings, and securitization in India: 1. It asks to explain the functions of constituents of mutual fund organization structures in India, the contents of offer documents as per SEBI format, and the role and functions of participants in NSDL's depository design and NEST system. 2. It provides questions about NSDL bye-laws, requirements for DP business operations, differences between pass-through and pay-through certificates, differences between equity grading and assessment, and parties involved in securitization. 3. Additional questions cover definitions related to SARFAESI Act 2002, steps in off-market trade settlement, market settlement

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    Important question MFS

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    Important q for Final Exam

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    The document discusses various topics related to mutual funds, depository systems, credit ratings, and securitization in India: 1. It asks to explain the functions of constituents of mutual fund organization structures in India, the contents of offer documents as per SEBI format, and the role and functions of participants in NSDL's depository design and NEST system. 2. It provides questions about NSDL bye-laws, requirements for DP business operations, differences between pass-through and pay-through certificates, differences between equity grading and assessment, and parties involved in securitization. 3. Additional questions cover definitions related to SARFAESI Act 2002, steps in off-market trade settlement, market settlement

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    14 views2 pages

    Important Q For Final Exam

    Uploaded by

    Rama Sardesai
    The document discusses various topics related to mutual funds, depository systems, credit ratings, and securitization in India: 1. It asks to explain the functions of constituents of mutual fund organization structures in India, the contents of offer documents as per SEBI format, and the role and functions of participants in NSDL's depository design and NEST system. 2. It provides questions about NSDL bye-laws, requirements for DP business operations, differences between pass-through and pay-through certificates, differences between equity grading and assessment, and parties involved in securitization. 3. Additional questions cover definitions related to SARFAESI Act 2002, steps in off-market trade settlement, market settlement

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    of 2

    1. Explain functions of various constituents of organization structure of Mutual funds in India?

    2. Briefly explain the contents involved in offer document as per the format specified by SEBI.
    3. Diagrammatically show and explain role and the function of different Participants in the
    Depository Design of NSDL and briefly explain NEST SYSTEM?
    4. List out the list of Bye-laws of NSDL mentioned in fourteen chapters of Depository Act, 1996.
    and What are pre-requisites prescribed by NSDL for commencing business operations for DP’s
    5. Give six points of differential between Pass through and Pay through certificates (5)
    6. Give four points of differential between Equity Grading and Equity Assessment and explain the
    ‘Grey Issues’ that contest for attention in Credit rating (5)
    7. Explain the dynamics and functions of parties involved in the securitization process
    (10)
    8. Define under the SARFAESI Act 2002 of “Security Receipt” and “Central Registry” Explain
    purpose and outcome with how the following works under the SARFAESI Act 2002:
    (a)Seize and desist,
    (b) Rights of Borrowers,
    (c) Pre-conditions for enforcing the rights of Creditors and
    (d) Method of recovery (10)

    9. Explain the steps with the diagram the following (a) Settlement of Off-Market Trade (b) Market
    Settlement –Demat Shares and (c) Unilateral Pledge Closure (10)

    10. Diagrammatically show and explain the General Credit rating process followed by Manufacturing
    companies (10)

    11. Discuss how Credit Rating Agencies vis-`a- vis International Credit Rating Agencies in terms of
    services and methodology (10)

    12. 12. Explain diagrammatically with the steps involved in the following services:

     Pledge of Demat Shares


     Pledge Closure
     Pledge Invocation
    OR

    13. 13. Explain the rating methodology followed by CRISIL credit rating agency

    OR

    14. 14. Explain the dynamics of the securitization process

    15.
    2mks

    1. State the different investment plans offered by mutual fund in India and explain

    Any two.

    2. Give two major points of distinction between Open-ended and Closed-ended Mutual
    Funds?
    3. List out four types of securitization instruments with two features of each.
    4. State the customized reports designed by NSDL using Report module
    5. List out the four other services given by CRISIL Credit Rating Agencies beyond rating
    services.
    6. Give the full form of V-SAT and NEST?
    7. Give two points of distinction between Pass through and Pay through certificate?
    8. State the prerequisites for Dematerialization request?
    9. State the different services rendered by CARE and CRISIL beyond credit rating?
    10. List out the assets that can be securitized?
    11. Explain the term front–end load in Mutual funds.
    12. State briefly four main functions of AMC of a Mutual Fund?
    13.

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