( 180+ Best ) Investment Management MCQ

Investment Management MCQ

Definition Of Investment Management

Investment management refers to the handling of financial assets and other investments—not only buying and selling them. Management includes devising a short- or long-term strategy for acquiring and disposing of portfolio holdings. It can also include banking, budgeting, and tax services and duties, as well.

1. 1. Which of the following statement is not correct
      1. Depository in registered owner of the securities held in demat form
      2. Securities in a depository are fungible
      3. Securities in a depository are held in dematerialized form
      4. Dematerialized securities have distinct numbers
   2. SEBI has prescribed code of conduct for the sub broker in _____________
      1. Indian contract Act,1872
      2. Securities Contract (Regulation) Act 1956
      3. Companies 1956
      4. SEBI (Stock brokers and sub brokers)regulations 1992
   3. A stock broker means a member of _____________________
      1. SEBI
      2. Any exchange
      3. A recognized stock exchange
      4. Any stock exchange
   4. Nifty index drops by 15% at 3.00 pm. Market will halted________________
      1. By half an hour
      2. For remainder of the day
      3. For ten minutes
      4. For 15 minutes
   5. An application for arbitration can be filed within __________- from the date of dispute
      1. 3 months
      2. 45 days
      3. 6 months
      4. 1 year
   6. A depository participant_______________________
      1. Is an investor who buys/sells shares through the depository
      2. Trades in the dematerialized shares
      3. Destroys the share certificates and makes a credit entry for his clients
      4. Is an agent of the depository and takes physical share certificates from his clients and sends them for dematerialization
   7. The following are participants in the securities markets______________
      1. Underwriters
      2. Debenture Trustees
      3. Venture capital funds
      4. All of these
   8. The securities markets have the following categories
      1. Issuers
      2. Investors
      3. Intermediaries
      4. All of the above
   9. In private placement insurance is done to
      1. More than 50 persons
      2. Less than 100 persons
      3. Less than 50 persons
      4. Less than 10 persons
   10. Which entry provide novations
       1. NSCCL
       2. NSE
       3. NSDL
       4. CDSL