Quick Revision 3.1- English

1. Which body regulates mutual funds in India?

2. Who regulates money market and foreign exchange market?

3. Under which regulations of SEBI is mutual fund covered?

4. Rules, regulations, guidelines, etc. of which organisation are applicable on mutual funds?

5. Where can appeal against SEBI be filed?

6. Is AMFI an SRO?

7. Who is primarily responsible to create awareness about mutual funds?

8. What are the standards laid down by AMFI to promote investors’ interest called?

9. Where can an intermediary file an appeal against cancellation of his registration?

10. Who has issued guidelines to prevent circulation of unauthenticated news by intermediaries?

11. What is the responsibility of the intermediary if his employees have access to Blogs/ Chat forums/ Messenger sites?

12. Which distributor qualifies for a due diligence process?

13. What are the two categories under which customer client relationship and transactions be categorized?

14. Can a distributor sell mutual fund product of distributor’s group/ associate/ affiliate?

15. An intermediary has laid down internal code of conduct and appointed a Compliance Officer. An employee of his sends a market related rumour to the clients of the intermediary. Who is responsible?

16. If a mutual fund distributor receives commission over ____________ p.a. across industry, he will qualify for due diligence review process.

17. What can lead to cancellation of intermediary’s registration?