1. If an investor has not transacted in 6 months, they will receive:

2. Portfolio holdings are disclosed under which section?

3. Which of the following is NOT a facility available in an NFO?

4. If a fund creates a segregated portfolio, it is for:

5. Account statements for SIP are dispatched:

6. What does KUA stand for in the context of Aadhaar e-KYC?

7. For Aadhaar e-KYC, an investor must provide which of the following on the KUA portal?

8. Who sends the OTP for Aadhaar e-KYC authentication?

9. After successful Aadhaar authentication, where is e-KYC data sent?

10. What format is used to transfer e-KYC data between KUA and Sub-KUA?

11. Which of these documents is NOT required for the transmission of units upon the death of a 2nd or 3rd holder?

12. In case of the first holder’s death, which form is used for the transmission of units?

13. When a sole unitholder dies, and there is no nominee, what form is used for transmission?

14. Under Regulation 16(2) of Aadhaar (Authentication) Regulations, 2016, what is required for sharing e-KYC data with Sub-KUAs?

15. What is the maximum transmission amount allowed without requiring a legal heir’s attested signature?

16. If a Karta of an HUF dies, what document is needed for changing the Karta?

17. What form is used for deleting the name of a deceased unitholder?

18. For Aadhaar e-KYC in assisted mode, what is required from the investor?

19. How long should KUAs maintain logs of transactions where e-KYC data has been shared?

20. In what scenario would a Bond of Indemnity be required?

21. Who can conduct an audit of all KUAs and Sub-KUAs?

22. What is required if a Karta of HUF dies and the transmission amount is above ₹2 Lakh?

23. Which entity is responsible for handling investor grievances in Aadhaar e-KYC processes?

24. Which document is NOT required for KYC compliance?

25. In the event of no surviving co-parcener of HUF, which form is required for transmission of units?

26. If the nominee is a minor, which document is required?

27. What should KUAs develop to monitor irregular transactions?

28. What is the requirement for Sub-KUAs in the e-KYC process?

29. How should full Aadhaar numbers be handled according to the guidelines?

30. Who is required to attest the claimant’s signature if the transmission amount is up to ₹2 Lakh?

31. Which document can serve as proof of relationship between the claimant and the deceased unitholder?

32. When should a KUA conduct audits of its devices and operators?

33. What document is required to change the Karta in the event of HUF Karta’s death?

34. Which form is required when units are transmitted to a nominee?

35. What is required when e-KYC data is shared between KUA and Sub-KUA?

36. What is required for a transmission amount exceeding Rs. 2 Lakh?

37. Which document must a claimant furnish according to Annexure-VI?

38. For HUF transmission upon Karta’s death, which of the following documents is accepted?

39. In case of a minor claimant, whose documents are required?

40. How should the bank attest the signature of a minor’s guardian?

41. What should be determined before splitting the claim among multiple nominees?

42. Why is it recommended that multiple nominees submit transmission requests together?

43. When can a single claim form be used across multiple folios?

44. What happens to other holdings if the deceased was the 1st holder in one folio?

45. For a mentally unsound claimant, who should act as the guardian?

46. Who must attest documents like the Death Certificate?

47. For amounts over Rs. 2 Lakh, whose attestation is accepted in lieu of banker’s attestation?

48. Who should adopt proper due diligence in special transmission cases?

49. How can new distributors minimize initial expenses?

50. What has impacted the traditional distribution setup for new distributors?

51. How many mutual funds existed worldwide at the end of 2021?

52. What is one advantage of digital transactions for distributors?

53. Who can provide digital platforms for new distributors?

54. What percentage of worldwide fund assets is in equities?

55. Which platform can distributors use for investor transactions?

56. What was the asset value of Indian mutual funds at the end of 2021?

57. Which regions hold the majority of fund assets globally?

58. Which appendix lists additional resources for new distributors?

59. What was the expense ratio for Indian equity funds in 2021?

60. What type of funds held $14.9 trillion worldwide at the end of 2021?

61. Who regulates the issuance of new fund offers?

62. What document is needed to claim a mutual fund after the primary holder’s death?

63. What is the recommended procedure for legal heirs?

64. Which document is not needed separately if available in KYC data?

65. Where can investors learn mutual fund basics?

66. An investor pays money to purchase units in a mutual fund. After deducting the entry load, remaining money is

67. Net Asset Value per unit means

68. When you place deposit with a bank, u become

69. During new fund offer (NFO) Units of an open – ended fund are purchased from the

70. Ownership of the mutual fund by the unit holders is

71. Directly investing in equity shares is better then investing in equity shares through a mutual fund because of

72. Mutual fund schemes in India follow accounting policies laid down by

73. The value of funds net assets is Rs. 1000. There are 100 units outstanding. Mr. Singh owns 3 units. The Value of his ownership is

74. A person who purchase debentures issued by a company is a lender to the company. An income fund invests in debentures issued by a company. A unit holder of this income fund.

75. Private sector was permitted to enter the mutual fund industry in India in the year

76. In India the first mutual fund was established:

77. The Assets under management in the Indian mutual fund industry as at end of financial year 2004-2005 was close to.

78. Identify the CORRECT statements?

79. When you invest in an open-ended mutual fund scheme, which of the following decisions is /are not taken by you?

80. The correct description of a mutual fund is

81. The birth place of mutual funds is.

82. Important development (s) that took place in the Indian mutual fund industry Feb 2003 was:

83. Distributors are required to abide by a code of conduct as prescribed by SEBI. This code is based on

84. An open end fund

85. A gilt fend is a special type of fund that invests

86. The period from 2004 onwards is known in the Indian mutual funds industry as

87. The union budget 1999 is considered important for the Indian mutual fund industry because.

88. The second mutual fund in the India was established by

89. Which is Correct?

90. A person who analyses shares based on finances and operations of the company is known as

91. What is an “Equity Warrant “?

92. Which of the following SEBI restrictions applies to a scheme’s investment in unlisted shares?

93. How would you measure the performance of an Equity Index Fund?

94. In an open-ended fund NAV per unit is Rs.11 Entry load is 2% An Investor invests Rs.110 she will get

95. Units from an open-ended mutual fund are bought from

96. A bond with a coupon rate of 9% when current coupons for bonds of similar maturities are 11% will sell:

97. Distributors need to abide by rules and good conduct towards investors, because

98. Insider trading means:

99. Responsibility to ensure ethical behavior on part of all mutual fund participants finally rests on

100. Fund House ratings by CRISIL, can be used by distributors