Overview

NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents -Mutual Funds Exam Prep Online Mock Test with 1200 Question BankABOUT THIS TEST SERIESThis NISM Exam Prep mock test aims to test your conceptual understanding of all test objectives & learning outcomes outlined by NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents -Mutual Funds Exam. This Mock Test is part of our Printed Exam Prep Guide Book (With 1700+ Question Bank along with additional learning resources 5 Mastery Assessment Test)BOOK NAME: NISM Series II A Registrars to an Issue and Share Transfer Agents - Mutual Funds Exam Preparation Guide with 1700+ Question BankThe printed book & eBook also available on all major eCom platforms, however if you get it directly from publisher it available with FREE SHIPPING Offer. (Visit Author's Website GurukulOnRoad for more information)NISM TEST OBJECTIVES, LEARNING OUTCOMES, & KNOWLEDGE AREA COVERED ON THIS MOCK TESTIntroduction to SecuritiesConcept of Equity and DebtFeatures of Debt Capital and Benefits to Debt InvestorsFeatures of Equity Capital and Benefits to Equity InvestorsHybrid StructuresCharacteristics of Equity SharesCorporate ActionsEquity TerminologyInvestors in equity sharesPreference SharesRights Issue of Shares & Preferential IssueRights of a ShareholderRisks in Equity InvestingCharacteristics of Debt SecuritiesClassification of Debt MarketCredit RatingFeatures of a Debt SecurityMarket Value & Yield from Debt InstrumentsTypes of Debt SecuritiesUnrated Bonds & Money Market InstrumentsCharacteristics of Other SecuritiesConvertible DebenturesDepository ReceiptsExchange Traded Funds and Index FundsForeign Currency Convertible BondsInvestment TrustsWarrantsSEBI - Role and RegulationsInvestor Education and Protection Fund (IEPF)SEBI Act, 1992 and Role of SEBISEBI Regulations specifically aimed at Investor ProtectionBasics of Registrars and Transfer AgentsFIP to AA & & Industry OverviewImportance and Need for RTAISC & OPAQualified Registrar and Transfer Agents (QRTAs)Role of Registrar and Transfer Agents (RTAs)RTA and Depository InterfaceRegistrar and Transfer Agents RegulationsCode of Conduct for RTAsCyber Security and Cyber Resilience Framework for QRTAsEnhanced Monitoring Guidelines for QRTAsGuidelines under SEBI (LODR) Regulations 2015SEBI RTA Regulations 1993Systems Audit FrameworkUltimate Beneficial Owner & RTA inter-operable PlatformBasics of Mutual FundsAdvantages of Mutual FundsCollective Investment Vehicle with proportionate ownershipNet AssetsOpen Ended and Close Ended Mutual FundsTotal Expense RatioMutual Fund Structure and ConstituentsConstituents and Service ProvidersRegistrar and Transfer AgentsRegulation of Mutual FundsStructure of a Mutual FundMutual Fund ProductsFeatures of Mutual Fund ProductsProduct Creation ProcessProduct DifferentiationProduct LabellingStrategy-based ClassificationTypes of Mutual Fund PlansTypes of Mutual FundsOperational Concepts of Mutual FundsApplicable NAV, Time Stamping and Risk ControlComputation of Net Asset Value (NAV)Cut Off TimeInvesting in Mutual Funds through Stock ExchangesNew Fund Offer (NFO)Reporting Requirements to CBDTRole of RTA in Tax ComputationSegregated PortfoliosInvestors in Mutual FundsFATCA and CRS Compliance & Investor CharterIndividual InvestorsInstitutional InvestorsInvestor Information and DocumentationsKnow Your Customer (KYC) NormsPower of Attorney & NominationBanking Operations in Mutual FundsBank Accounts maintained by Mutual FundsElectronic Clearing MechanismsPayment MechanismRole of RTAs in Banking OperationsThird Party Verification (TPV) and Payment to Valid AccountFinancial TransactionsAccount Statements for InvestmentsApplication Form Vs Transaction SlipPurchase TransactionsRedemptionsRole of RTA in Commission PaymentSwitchSystematic TransactionsTurn-around-times for various Financial Transactions with Mutual FundsNon-Financial TransactionsChange in Corporate Name or StatusChange in OptionChange in/ Updation of Other DetailsChange of AddressChange of Bank DetailsChanges in Investor DetailsInvestor Grievance RedressalMinor becoming Major & Registration of POAPledge and Lien MarkingRegistration of NomineeTimelines pertaining to various services provided by RTAsTransmission of UnitsValue Added services by RTAs

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