MUTUAL FUND -- SET 16
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Dear Candidate,
1. This is a Mock Examination of NISM-Series-XVIII: Financial Education Certification Examination.
2. This mock test has 50 questions of 1 marks each. Please note that the actual examination for NISM Series XVIII: Financial Education Certification Examination has 50 questions of 1 mark each.
3. There is no negative marking.
4. The passing score for the examination is 60%
5. This mock examination is only to give the candidates an experience of NISM testing system.
6. Please note that passing this mock test would not make you eligible for claiming a certificate for NISM-Series-XVIII: Financial Education Certification Examination.
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Question 1 of 24
1. Question
An Investor redeemed units of Gold ETF 20 months after Investment.What is the tax treatment for the capital gains he
got? -
Question 2 of 24
2. Question
The ________ sets out concisely the information about the scheme that a prospective investor ought to know before
investing. -
Question 3 of 24
3. Question
Is it compulsory to use fund distributors / intermediaries for investing Mutual Fund Schemes?
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Question 4 of 24
4. Question
Who among the following can nominate?
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Question 5 of 24
5. Question
If an investor feels that the trustees have not fulfilled their obligations, then he/she can file a suit against the trustees for
breach of trust -
Question 6 of 24
6. Question
NAV of Gold Sector Funds Depends on _________
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Question 7 of 24
7. Question
Identify the correct statement
(i) Risk appetite of a Family increases as the number of earning members increases
(ii) Risk appetite decreases as the number of dependent members increases
(iii) Risk appetite is higher when life expectancy is longer
(iv) Well qualified & multi skilled professionals can afford to take more risk -
Question 8 of 24
8. Question
In which of the following funds, the Fund Manager will create a long term portfolio
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Question 9 of 24
9. Question
SEBI has mandated AMCs to put in place a due diligence process to regulate distributors if they have
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Question 10 of 24
10. Question
An AMC has delayed dispatch of dividend warrants and has to pay the penal interest on account of where such delay is
beyond regulatory limits. Which of the following statements is True? -
Question 11 of 24
11. Question
Stock picking is also known as
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Question 12 of 24
12. Question
Investor using ASBA facility in NFO transactions, makes the payment
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Question 13 of 24
13. Question
Relaxation from PAN requirements for micro SIP is available for
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Question 14 of 24
14. Question
The minimum holding period for capital gains to qualify as long term in the case of Gold ETF scheme is
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Question 15 of 24
15. Question
___________ is like a balance confirmation certificate issued by a bank
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Question 16 of 24
16. Question
What is the contribution of sponsor to net worth of Asset Management Company?
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Question 17 of 24
17. Question
Investors have the option to receive allotment of Mutual Fund units of open ended and closed end schemes in their demat
account. -
Question 18 of 24
18. Question
Which of the following is not a fundamental attribute of scheme?
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Question 19 of 24
19. Question
Interval Funds are _________
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Question 20 of 24
20. Question
Which of the following need not be present in KIM?
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Question 21 of 24
21. Question
PHOTO IDENTIFICATION documents applicable for Micro SIP
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Question 22 of 24
22. Question
While evaluating performance for an index fund, which of the following is most important?
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Question 23 of 24
23. Question
A compliance officer of an AMC
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Question 24 of 24
24. Question
Investment Value is Rs 100 Crore. Dividend accrued for shares but not received is Rs 3.9 crore. Expenses payable is Rs
1 crore. Number of Units outstanding is 75 Lakhs. Calculate NAV?