Q1.
Which type of intermediaries are involved in the distribution of financial products
Q2.
Alternative channels explored by the AMC are
Q3.
________gave an opportunity to mutual funds to directly connect with the investor
Q4.
Which kind of schemes are required to listed on the stock exchange
Q5.
SEBI permission is required before a mutual fund appoints a distributor
Q6.
Who can be appointed as a distributor for a mutual fund
Q7.
Who has prescribed the rule that it is mandatory for anyone distributing mutual funds to pass the certifying examination?
Q8.
AMFI has introduced a process to verify the correctness of the information provided in registration document and to have verification of ARN holders. What is that process known as?
Q9.
Empanelment with the AMC or enrolment as an agent of an empanelled distributor is not compulsory to be able to sell mutual fund schemes and earn the commissions.
Q10.
Institutions that are into distribution of mutual funds need to register with which organization/body?
Q11.
Besides the institutions, all their employees who are into selling mutual funds need to have an ARN.
Q12.
AMC has the power to terminate the empanelment of a distributor at any point of time
Q13.
Which of the following statements are true regarding the commission structure of an AMC
Q14.
The commission earned on the amount mobilized by the distributor is known as?
Q15.
The commission that is calculated as a percentage of the net assets attributable to the units sold by the distributor is known as?
Q16.
Normally the trial commission is paid by?
Q17.
Which kind of commission results in the benefit to the distributor by way of increase in net assets arising out of valuation gains in the market?
Q18.
A mutual fund distributor is paid trail commission for as long as the investor’s money is held in the fund, under the distributor’s broker code
Q19.
AMC is bound by the acts of the distributor, and the distributor’s agents and sub brokers
Q20.
What does the practice of rebating mean?
Q21.
With reference to mutual funds the practice of rebating is banned?
Q22.
Display of which information is prohibited in tombstone advertisement
Q23.
The distributor can charge a fee from the investor
Q24.
The pre requisite for stock exchange brokers to distribute mutual funds are?
Q25.
All advertisements pertaining to mutual funds may or may not disclose all risk factors concerned
Q26.
Distributors can claim commission on which kind of investments
Q27.
Product launch advertisement can be used only for the launch and re launch of schemes
Q28.
The following information is prohibited in product launch advertisement
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