Free Mock Test Investment Advisor | Investment Advisor Level -1

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

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

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.

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

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

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?

Who is a Qualified Institutional Buyer?

In which market, securities are issued to investors for the first time?

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

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