1. What team works as an interface between banks and fund management?

2. Who is responsible for maintaining the books of accounts of mutual fund schemes?

3. Which department handles branding, advertising, and distribution of mutual fund products?

4. What team interacts with mutual fund distributors to manage relationships?

5. Who is responsible for ensuring that the investment of funds is not contrary to SEBI regulations?

6. Who can terminate the appointment of an AMC?

7. Prior approval from which entity is needed to appoint the AMC?

8. Who must be informed of a change in control of the AMC?

9. Who ensures that the mutual fund complies with all regulations?

10. Who signs the due-diligence certificate for new schemes?

11. Who performs the main function of analyzing investment opportunities?

12. Who provides custody services to mutual funds?

13. Which SEBI regulation must a custodian register under to operate in mutual funds?

14. Who is responsible for maintaining NAV and books of accounts for mutual fund schemes?

15. What document governs the operations of a mutual fund trust?

16. Who is responsible for calculating the NAV of a mutual fund scheme?

17. Is SEBI registration required for a fund accountant to perform their role?

18. Which of the following functions are handled by Registrars and Transfer Agents (RTAs)?

19. Who appoints the auditor for mutual fund schemes?

20. The NISM-Series-V-A certification is required for which role?

21. What is the role of collecting bankers in mutual funds?

22. Which service provider facilitates KYC processes for mutual fund investors?

23. Which of the following agencies is responsible for arriving at fair valuation of debt securities?

24. Who provides the valuation matrix for fair valuation of debt securities in mutual funds?

25. What is the primary role of credit rating agencies in mutual funds?

26. Which of the following entities allows investors to hold mutual fund units in dematerialized form?

27. Which of the following platforms allows mutual fund transactions through stock exchanges?

28. What is the full form of EOP in the context of mutual funds?

29. Who provides services for aggregating transactions across multiple mutual funds?

30. Which category of mutual fund distributors can sell limited schemes after clearing the NISM-Series V-B exam?

31. What is the main role of depository participants?

32. How are payment aggregators different from collecting bankers?

33. Who appoints the custodian for mutual funds?

34. Which entity is responsible for maintaining investor records in mutual funds?

35. What role do auditors play in mutual funds?

36. Which entity oversees compliance with the Prevention of Money Laundering Act in mutual funds?

37. Which of the following must be registered with SEBI?

38. In which case is it mandatory for mutual fund schemes to carry a credit rating?

39. What are the two main depositories in India?

40. Who manages the bank accounts for mutual fund schemes?

41. Which entity must approve changes in the RTA?

42. What is the role of a Fund Accountant?

43. Who regulates the registration of KYC Registration Agencies?

44. What is the primary role of the Sales and Marketing Team in mutual funds?

45. Which platform allows investors to transact in mutual funds across multiple mutual funds?

46. What is the full form of AMFI?

47. Which of the following is NOT an objective of AMFI?

48. Who does AMFI interact with on matters concerning the mutual fund industry?

49. What action can AMFI take against mutual fund distributors for violations of the Code of Conduct?

50. Which of the following bodies does AMFI represent to on matters related to the mutual fund industry?

51. What is the primary role of AMFI with regard to mutual fund distributors?

52. What does AMFI promote through its nationwide investor awareness programme?

53. Which regulator oversees the banking system in India?

54. Which regulator is responsible for overseeing the securities markets in India?

55. Which of the following is a key role of AMFI?

56. Which of the following is 1 about AMFI’s role in the mutual fund industry?

57. Who regulates the insurance market in India?

58. Is AMFI considered a regulatory body or a self-regulatory organization?

59. PFRDA regulates which sector?

60. All financial regulators in India come under which ministry?

61. SEBI regulates all the following EXCEPT:

62. What is one of the main objectives of SEBI, as mentioned in its Preamble?

63. What is a key component of SEBI’s regulations?

64. SEBI’s regulations focus on reducing which of the following?

65. Which of the following activities does SEBI aim to regulate in stock markets?

66. What would happen if speculative and risky activities in the securities market went unchecked?

67. SEBI introduced the Mutual Fund Regulations in which year?

68. Which of the following is covered under SEBI’s governance norms for mutual funds?

69. Which document’s objectives and content are regulated by SEBI?

70. What did SEBI mandate to ensure proper scheme mergers or consolidation?

71. What is an example of a new product category regulated by SEBI?

72. Why has SEBI issued guidelines for risk management systems in mutual funds?

73. What is the main goal of SEBI’s disclosure and reporting norms for mutual funds?

74. SEBI’s governance norms also cover:

75. Which area does SEBI regulate to ensure proper NAV disclosure?

76. What are SEBI’s guidelines regarding mutual fund advertisements?

77. Which of the following does SEBI regulate in terms of mutual fund dividend distribution?

78. SEBI regulations impose limits on which of the following?

79. SEBI requires mutual funds to be benchmarked against which index?

80. Which provision was introduced by SEBI during the 2018 credit crisis?

81. What is the purpose of segregated portfolios introduced by SEBI?

82. What event prompted SEBI to disallow premature redemption in Fixed Maturity Plans (FMPs)?

83. SEBI’s regulations on the categorization and rationalization of mutual fund schemes aim to:

84. What is the impact of SEBI’s guidelines on mutual fund transparency?

85. SEBI’s certification and registration norms for intermediaries cover which of the following?

86. What year were the SEBI (Mutual Funds) Regulations first introduced?

87. Which of the following markets is regulated by the RBI, requiring mutual funds to comply with its regulations?

88. SEBI regulations for mutual funds aim to control risks taken by whom?

89. Mutual funds must transfer purchased securities in whose name?

90. What is the maximum percentage of a company’s paid-up capital a mutual fund scheme can own?

91. A mutual fund scheme cannot invest more than what percentage of its total NAV in debt instruments from a single issuer?

92. What is the maximum limit for investing in unlisted non-convertible debentures (NCDs) as per SEBI guidelines?

93. Mutual funds are prohibited from advancing what?

94. Which of the following is NOT a restriction for mutual funds when investing in REITs or InvITs?

95. According to SEBI, mutual fund advertisements must always include which of the following?

96. What is the standard warning that must accompany mutual fund advertisements?

97. Mutual funds must not advertise which of the following?

98. Open-ended debt funds are required to maintain a minimum of what percentage of their corpus in liquid assets?

99. Which type of funds must invest at least 80% in equity and equity-linked securities?

100. Mutual fund schemes are prohibited from owning more than 10% of units issued by which entities?