Assam University B.Com 5th Sem Question Paper CBCS Pattern
2020/TDC
(CBCS)/ODD/SEM/COMDSE-501T (E) /353
TDC (CBCS) Odd Semester
Exam, 2020
Held in March, 2021
COMMERCE (5th
Semester)
(Financial Markets,
Institutions and Financial Services)
Full Marks: 70
Pass Marks: 28
Time: 3 hours
The figures in the margin indicate full marks for the questions.
SECTION – A
Answer any twenty of the following as directed: 1x20=20
1. Formal finance system consists of FIs,
financial markets, financial instruments and _______. [Fill in the blank)
2. Mention one function of financial markets.
3. Who are the producers of financial
services in the Indian Financial System?
4. Indian Financial System comprises of both
_______ and _______ sector. [Fill in the blanks]
5. SEBI was given legal status in the year
_______. [Fill in the blank]
6. Non-banking assets and non-performing
assets are synonymous. (Write True or False)
7. Bank deposit is a non-marketable security.
(Write True or False)
8. A money market is a market for _______
term debt instruments. (Fill in the blank)
9. The market for extremely short-period loan
is called _______. [Fill in the blank]
10. New issue market deals with _______
securities. [Fill in the blank]
11. The facility to carry forward a
transaction from one settlement period to another is known as _______
transaction. [Fill in the blank]
12. _______ regulates the functioning of
Indian Money Market. [Fill in the blank]
13. To regulate the securities market and to
protect the interest of the investors, Government of India has created _______.
[Fill in the blank]
14. Public issues involve no
(a) Underwriter.
(b) Shareholder.
(c) Exchange.
(d) Intermediaries. (Choose the correct answer)
15. IPO stands for _______. [Fill in the
blank]
16. BSE Sensex was launched in the year
_______. [Fill in the blank]
17. Term lending institutions are _______
market intermediaries. [Fill in the blank]
18. A development bank does not accept
deposit from _______. [Fill in the blank]
19. The main function of mutual funds is to
mobilize the savings of the general public and invest the same into stock
market securities. (Write True or False)
20. What is the current CRR?
21. What is the full form of MCLR?
22. In Union Budget, 2021, Foreign Direct
Investment (FDI) limit in insurance sector has been raised to _______ percent.
[Fill in the blank]
23. NBFCs can accept demand deposits from
public. (Write True or False)
24. Which apex institution regulates the
functioning of NBFCs in India?
25. In India, the merchant banking activity
was originated with the merchant banking division set up by the _______ bank.
[Fill in the blank]
26. Issue management is an important function
of _______ and _______.
(a) Merchant banker, lead manager.
(b) Public banker, merchant banker.
(c) Lead banker, private banking.
(d) None of the above. (Choose the correct answer)
27. _______ is regarded as the fourth element
of the financial system. [Fill in the blank]
28. Investment banks are also known as
_______ banks. [Fill in the blank]
29. Loan syndication is a kind of consortium
advance. (Write True or False)
30. Name one company which is acting as
merchant banker in India.
31. A merchant banker is required to have a
minimum net worth of not less than _______ crore. [Fill in the blank]
32. Merchant banking activity in India is
regulated by _______. [Fill in the blank]
33. The process of managing the sales ledger
of a client by a financial service company is called _______. [Fill in the
blank]
34. Venture capitalists share the risk in the
business. (Write True or False)
35. Under factoring, the factor acts in the
capacity of
(a) An agent of his client.
(b) A trustee.
(c) A holder for value.
(d) An administrator. (Choose the correct answer)
36. Rating ‘AAA’ indicates _______ security.
[Fill in the blank]
37. Credit rating is only a current opinion
of the firm’s capacity to repay debt in time. (Write True or False)
38. A letter of credit is a document from a
bank that _______ payment. [Fill in the blank]
39. The full form of HFC is _______. [Fill in
the blank]
40. CRISIL was established in the year
_______. [Fill in the blank]
Assam University B.Com 5th Sem Question Papers
SECTION – B
Answer any five of the following questions: 2x5=10
41. What do you mean by flow of funds matrix?
42. What is nationalization of commercial
banks?
43. What do you mean by listing of
securities?
44. Mention any two important functions of
stock exchange.
45. Mention two major functions of commercial
banks in India.
46. State any two objectives of Development
Financial Institutions.
47. Mention any two functions of merchant
banker.
48. What do you mean by underwriting of
public issue of share?
49. Name two credit rating agencies operating
in India.
50. Mention two main functions of housing finance
companies.
SECTION – C
Answer any five of the following questions: 8x5=40
51. Explain the role of financial system in
the Indian economy.
52. Show the classification of Indian
Financial System in the form of a chart.
53. Distinguish between money market and
capital market.
54. Write a note on book-building process.
55. Discuss the various schemes that can be
offered by a mutual fund company in India.
56. Explain the various modes of working
capital financing by commercial banks in India.
57. Briefly explain the SEBI guidelines in
respect of merchant banking in India.
58. Discuss the pre-issue obligations of
merchant banker in India.
59. Explain the various stages of venture
capital financing.
60. Discuss the benefits of credit ratings to
rated companies.
***
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