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As per PMLA the information on suspicious financial transactions needs to be furnished to:
Which is the second stage of money laundering process?
The stage of money laundering process in which the funds are reenter the legitimate economy is called?
SEBI has its grievance redress mechanism for investor what it is called?
The act which seeks to maintain and ensure the growth of foreign exchange market of India is called?
What is the course of action RBI takes to control the inflation?
The average Rate at which Bank borrows its all obligations is called?
What does Central Bank do to reduce the supply of money in the country?
Which is true about Automatic stabilization approach of fiscal policy?
What are employment, consumer spending, housing, wages and prices components of?
Under normal economic conditions what part of the business cycle typically follows recession?
What’s the term that refers to when a territory imports from another territory more than it exports?
What does prudential regulation require of financial firms?
What is one of the employer/employee components of a “tax wedge”?
In addition to identifying and verifying the customer’s identity, what additional identification requirement does the Financial Action Task Force (on Money Laundering), or FATF, say should be met?
In most regulatory environments, which of the following should be disclosed to clients and potential clients?
I. Fees and other expenses
II. Disciplinary actions and current licenses
III. Agency relationships and affiliations
IV. Home address and phone number
What is the function of the International Organization of Securities Commissions (I0SCO)?
What is an important component of enabling a financial adviser to address conflicts of interest?
Assume a financial adviser is considering two investment recommendations for a client. One involves payment to the adviser from the investment issuer and the other does not. Both options are suitable. Which option should the adviser choose to comply with a client first standard?
Which one of the following is the better way to operate as a financial adviser?
Which professionals are needed to register under SEBI regulations?
What will be the least likely to be true in case of expansion business cycle?
What is most likely to be true about free cash flow to firm?
Who is the regulator of money market in India?
The maximum numbers of public companies in which a singlen person can be appointed as a director is:
“— brings together the world’s securities regulators and is recognized as the global standard setter for the securities sector
Prudential regulations have following except:
“—- offers loans to banks or other eligible institutions that are experiencing financial difficulty or considered highly risky or near collapse.
Which duty is referred here the financial advisor to fully disclose the conflict and make sure the client understands that before making the decision?
Which of the following statement is incorrect?
Investment advice should least likely to be:
Which of the following statement is most correct to say?Statement 1: A financial advisor can most accurately predict the future financial trend.Statement 2: A financial advisor has used the most up-to-date quality information to develop a client’s recommendation or strategy over time the economic environment is sure to change enough that the initial assumptions are no longer correct.
Which of the following least likely come under developmental function of SEBI?
The appeal against the orders written by SEBI IRDA and PFRDA can be made to the— to review the actions taken by regulators in exercise of their quasi-judicial functions.
“—is the ratio of a bank’s net time and demand liabilities which it has to maintain in the form of cash gold and other securities prescribed by RBI.
Which of the following is least likely be done to increase money supply in system?
Which of the following is most likely be done to decrease money supply in system?
person for whose benefit trust is created—
MCLR stands for:
Non-Banking financial companies are:
Which of the following is an unregulated lending?
According to FATF recommendation financial institution includes entity which perform which of the following function except:
Which of the following is least likely be a function performed by RBI?
Which of the following least likely come under executive function of regulator?
A person aggrieved by an order made by the State Commission may prefer an appeal against such order to the National Consumer Disputes Redressal Commission (National Commission) within a period of —-days from the date of the order.
Any person aggrieved by an order made by the District Commission may prefer an appeal against such order to the State Consumer Disputes Redressal Commission (State Commission) on the grounds of facts or law within a period of —-days from the date of the order.
Mr Y a financial professional while making assumption of rate of return follows the approach of assuming slightly lower rate of return along with slightly higher rate of inflation. Which approach he follows?
Mr F Enjoy holding on to their money. It is difficult for him to spend money on luxury or pleasurable items for himself or loved ones. To which category he belongs
cash flow statement most likely identifies a person’s:
Which of the following statements is most likely correct?
Which of the following is least likely to be a disadvantage of working through the budgeting process?
Mark the correct statement:
Mark the incorrect statement:
financial planner suggested his clients about Recurring deposit which of the following will be least likely a benefit provided by it?
money market funds invest in which of the following except?
How is nominal yield calculated compared with current yield?
What sequence best represents the risk-return trade-off from lowest risk to highest?
Factors such as changes in interest rates and changes in inflation contribute to:
What risk adjusted performance ration can work better in case where portfolio is not well diversifed?
Rahul has a portfolio of 5 securities . Some one has suggested him to add more securities to portfolio to diversify the risk.What kind of risk Rahul will not be able to reduce even after adding some more securities to portfolio.:
Calculate the value of stock if current dividend paid by company is $5 and is expected to grow by 4% p.a. and expected return is 10% pa.
“—— bond provides the bond issuer with the right to buy back the bonds prior to maturity at a pre-specified price whereas a —— bond provides the bondholders with the right to sell their bonds to the issuer prior to maturity at a pre-specified price.
Mr Y calculated his yield on a bond with $20 coupon payable annually divided by current bond price. Which yield it represent
How are ETFs priced?
“—- are the short-term debt instrument issued by large financial institutions corporates and primary dealers to meet the short-term requirement of funds.
Treasury bills can be issued with maximum maturity of —
“—–is an insurance to protect the issuer of securities from under subscription.
Intrinsic value of put option equals to —
Shyam wants to take a house is of 1 Cr, Loan rate at 8.5% with down payment of 20%.For down payment takes a separate loan of at the rate of 10% .If both the loans run for 20 years. What is total interest paid on the loan running for 20 years.
Which authorities should be e informed for suspecting activities in PMLA?
Which is not the work of Reserve Bank of India?
Which one of the following assumptions of Markowitz’s Modern Portfolio Theory directly contrasts with a basic assumption of behavioral finance?
What is the primary purpose of financial regulation according to the International Monetary Fund?
Fiscal drag and fiscal boost are variations of what type of fiscal policy?
What is a typical business response when the government enacts legislation that increases costs to the business?
What are the three stages of money laundering (in order)?
As per companies Act 2013. What is the maximum number of directors in a Company?
The number of Shareholders/ Members in a Private Company can Now be up to?
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