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NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Exam Prep Online Mock Test with 1200 Question Bank
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ABOUT THIS TEST SERIES
This 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 Bank
The 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)
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NISM TEST OBJECTIVES, LEARNING OUTCOMES, & KNOWLEDGE AREA COVERED ON THIS MOCK TEST
Introduction to Securities
Concept of Equity and Debt
Features of Debt Capital and Benefits to Debt Investors
Features of Equity Capital and Benefits to Equity Investors
Hybrid Structures
Characteristics of Equity Shares
Corporate Actions
Equity Terminology
Investors in equity shares
Preference Shares
Rights Issue of Shares & Preferential Issue
Rights of a Shareholder
Risks in Equity Investing
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Characteristics of Debt Securities
Classification of Debt Market
Credit Rating
Features of a Debt Security
Market Value & Yield from Debt Instruments
Types of Debt Securities
Unrated Bonds & Money Market Instruments
Characteristics of Other Securities
Convertible Debentures
Depository Receipts
Exchange Traded Funds and Index Funds
Foreign Currency Convertible Bonds
Investment Trusts
Warrants
SEBI - Role and Regulations
Investor Education and Protection Fund (IEPF)
SEBI Act, 1992 and Role of SEBI
SEBI Regulations specifically aimed at Investor Protection
Basics of Registrars and Transfer Agents
FIP to AA & & Industry Overview
Importance and Need for RTA
ISC & OPA
Qualified Registrar and Transfer Agents (QRTAs)
Role of Registrar and Transfer Agents (RTAs)
RTA and Depository Interface
Registrar and Transfer Agents Regulations
Code of Conduct for RTAs
Cyber Security and Cyber Resilience Framework for QRTAs
Enhanced Monitoring Guidelines for QRTAs
Guidelines under SEBI (LODR) Regulations 2015
SEBI RTA Regulations 1993
Systems Audit Framework
Ultimate Beneficial Owner & RTA inter-operable Platform
Basics of Mutual Funds
Advantages of Mutual Funds
Collective Investment Vehicle with proportionate ownership
Net Assets
Open Ended and Close Ended Mutual Funds
Total Expense Ratio
Mutual Fund Structure and Constituents
Constituents and Service Providers
Registrar and Transfer Agents
Regulation of Mutual Funds
Structure of a Mutual Fund
Mutual Fund Products
Features of Mutual Fund Products
Product Creation Process
Product Differentiation
Product Labelling
Strategy-based Classification
Types of Mutual Fund Plans
Types of Mutual Funds
Operational Concepts of Mutual Funds
Applicable NAV, Time Stamping and Risk Control
Computation of Net Asset Value (NAV)
Cut Off Time
Investing in Mutual Funds through Stock Exchanges
New Fund Offer (NFO)
Reporting Requirements to CBDT
Role of RTA in Tax Computation
Segregated Portfolios
Investors in Mutual Funds
FATCA and CRS Compliance & Investor Charter
Individual Investors
Institutional Investors
Investor Information and Documentations
Know Your Customer (KYC) Norms
Power of Attorney & Nomination
Banking Operations in Mutual Funds
Bank Accounts maintained by Mutual Funds
Electronic Clearing Mechanisms
Payment Mechanism
Role of RTAs in Banking Operations
Third Party Verification (TPV) and Payment to Valid Account
Financial Transactions
Account Statements for Investments
Application Form Vs Transaction Slip
Purchase Transactions
Redemptions
Role of RTA in Commission Payment
Switch
Systematic Transactions
Turn-around-times for various Financial Transactions with Mutual Funds
Non-Financial Transactions
Change in Corporate Name or Status
Change in Option
Change in/ Updation of Other Details
Change of Address
Change of Bank Details
Changes in Investor Details
Investor Grievance Redressal
Minor becoming Major & Registration of POA
Pledge and Lien Marking
Registration of Nominee
Timelines pertaining to various services provided by RTAs
Transmission of Units
Value Added services by RTAs
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Who this course is for:
- The examination seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function, in order to enable better quality investor service, operational process efficiency and risk controls.
- Mutual Fund Professionals
- Compliance Professionals in Mutual Fund Industry
- Registrars to an Issue and Share Transfer Agents
- RTAs
- Professionals in R&T function
- MBA Finance Students
- Students
- Employee of Mutual Fund
