QUESTIONNAIRE

1.

PERSONAL DETAILS:

1.

Your Name: ______________________________________

2.

Age-group:

Below 25 years

26-35 years

36-45 years

Over 45 years

3.

Gender

Male

Female

4.

Education

H.S.C or Below H.S.C.

Graduation

Post-Graduation

Any other

Government Employee

Business

Retired

Professionals

5.

6.

Occupations:

Monthly Income: Below Rs. 10,000

Others

Rs.10, 001 to Rs.20, 000

Rs.20, 001 to Rs.30, 000 over Rs.30, 000

7.

In which company do you have D-mat and Trading Account?

Reliance money

indiainfoline

Angel Broking

Geogit Securities

ICICI direct

HDFC securities

India bulls

Karvy

ICICI-securities.

Sharekhan

Cityonline

Kotak-Securities

Marwadi

SBI-Investment

others.

2.

GENERAL AWARENESS

1.

Which type of Online Trading do you prefer? Intraday

2.

Since how long time has you involved in Online Trading?

3.

Less than 6 months

6 months to 1 year

1 year to 1.5 year

1.5 years to 2 years

Investments

More than 2 years

Your two most preferred Trading Websites:

(A) __________________________ (B) __________________________

4.

Why do you prefer Online Trading to conventional trading? (Give Rank)

Time saving

more convenience

No dependency on others

Real time price awareness More safe

1
5.

6.

Low cost

Others

For which Factor do you prefer Online Trading? (Give Rank)

Better Earning

Safe Investment

Easy to Access

High Growth

Liquidity

Speculation

By which Broker firm you are conducting your transactions?

Reliance money

indiainfoline

Angel Broking

Geogit Securities

ICICI direct

HDFC securities

India bulls

Karvy

ICICI-securities.

Sharekhan

Cityonline

Kotak-Securities

Marwadi

SBI-Investment

Others.

7.

Which sources do you use for being informed about general and legal
issues relevant to the online trading?
1
2
3
4
5
6
7
8

8.

Personal contacts
News from Chambers of Commerce, industry associations, etc.
Legal advisor
Online portal
Newsletters
Websites and Brokerage firms
News papers and magazines, Journals
Others (Please specify)

Criteria for the online trading, which are considered to open an account in a
brokerage house:

Sr. no.

Factors

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

Variety of products offered

Time to open an account
Brokerage charges
Customer services
software
Research reports
Efficiency at peak hours
Customer relationship
Compliance system
Infrastructure
Brand
Trading calls/sms
Effective execution
Regular delivery of contract notes
Market exposure
Recording confirmation
Access to back office
Comprehensive stock trading portal
Employees skill
Helpline services
guidance

Most
Imp.

Imp

Neutral Least
Imp.

Not
imp

9.

Show your Agreement level for the following sentences regarding Knowledge
about online trading.

[SA = Strongly Agree, A = Agree, NANDA=Neither Agree nor disagree, D=

Disagree, SD=Strongly Disagree]
No.

Statements

SA A NA/ D SD
ND

1.
2.
3.

Online Trading has captured more investors

Online Trading has reduced chances of Fraud
Online Trading has made trading process more transparent

4.

Online Trading has Bright future ahead

5.
6.
7.

Online Trading is the Reducing the role Of Broker

Online Trading gives more return on Fraud
While Online Trading Indian Capital Market has become efficient

10.

No.

Knowledge level regarding the awareness about the problems faced by

online traders:

Statements

1.
2.
3.
4.
5.
6.
7.

Technological aspects of Online Trading

Risk of system failure
Professional Management of Broker
Transaction cost of online Trading
Requisite Information for online Trading
Possibilities of frauds
Poor Communication Network

8.

Level of Transparency

Immediate Resolution when problem occurs

at time of Online Trading

Do
not
know

Know
Know
Know
a
Something well
little

Know
Very
well

11.

General awareness regarding online trading: Show your Agreement level for the
following sentences

[SA= Strongly Agree, A= Agree, NA/ND=Neither Agree nor disagree, D= Disagree,

SD=Strongly Disagree]
SR.
No.
1
2
3
4
5
6
7.
8

Sr.
no.

STATEMENTS

NA/
ND

SD

I know the procedure for online trading

I know how to place an order
I know how to cancel an order
I know how to purchase a security in a cash account
I know the options for placing a trade if I
am unable to access my account online
I know that If I trade on margin, my broker can sell my
securities without giving me a margin call
I know that no regulations require
a trade to be executed within a certain time
I know what to do if I have a complaints

3.

LEGAL AWARENESS

1.

Legal knowledge level for the following Acts:

Statements

Indian Contract Act, 1872

Securities Contracts (Regulation) Act, 1956

Securities Contracts (Regulation) Rules, 1957

Securities and Exchange Board of India Act, 1992

SEBI (Stock Brokers & Sub-Brokers) Rules, 1992

SEBI (Stock Brokers & Sub-Brokers) Regulations, 1992

SEBI (Insider Trading) Regulations, 1992

SEBI (Prohibition of Fraudulent And Unfair Trade Practices

Relating to security markets)
Securities Markets Regulations, 1995

10

The Depositories Act, 1996

11

The Companies Act, 1956

SA

Do
not
know

Know Know
a
Somelittle
thing

Know
well

Know
Very
well

2.

Legal awareness about investors right for the following sentences:

Sr.
No.

Statements

To receive the share certificates, on allotment or transfer (if

opted for transaction in physical mode) as the case may be, in
due time.
To receive copies of the Annual Report containing the Balance
Sheet, the Profit & Loss account and the Auditors Report.
To participate and vote in general meetings either personally or
through proxy.
To receive dividends in due time once approved in general
meetings.
To receive corporate benefits like rights, bonus, etc. once
approved.
To apply to Company Law Board (CLB) to call or direct the
Annual General Meeting.
To inspect the minute books of the general meetings and to
receive copies thereof.
To proceed against the company by way of civil or criminal
proceedings.
To apply for the winding up of the company.
To receive the residual proceeds.
To receive offer to subscribe to rights shares in case of further
issues of shares.
To receive offer under takeover or buyback offer under SEBI
Regulations.

2
3
4
5
6
7
8
9
10
11
12

3.
Sr.
No.
1
2
3
4
5

Do
Know Know Know
not
a
Some- well
know little thing

Legal knowledge about investors responsibilities for the following sentences.

Statements
Investors have to be specific.
Investors have to remain
informed.
Investors have to be vigilant.
Terms and conditions you accept
while doing online trading
Regulatory guidelines applicable
to investor for online trading

Do
not
know

Know
a
little

Know
Something

Know
well

Know
Very
well

Know
Very
well

4.

Sr.
No.
1
2
3
4
5
6
7

9
10
11

Given below are types of grievances for which you could approach SEBI:
Show your knowledge level for the following sentences.
Sentences
Refund Order/ Allotment Advise
Non-receipt of dividend.
Non-receipt of share certificates after transfer.
Debentures
Non-receipt of letter of offer for rights.
Collective Investment Schemes
Mutual Funds/ Venture Capital Funds/ Foreign
Venture Capital Investors/ Foreign Institutional
Investors/ Portfolio Managers, Custodians.
Brokers/ Securities Lending Intermediaries/
Merchant Bankers/ Registrars and Transfer Agents/
Debenture Trustees/ Bankers to Issue/
Underwriters/ Credit Rating Agencies/ Depository
Participants
Securities Exchanges/ Clearing and Settlement
Organizations/ Depositories.
Derivative Trading
Corporate Governance/ Corporate Restructuring/
Substantial Acquisition and Takeovers/ Buyback /
Delisting / Compliance With Listing Conditions.

Do
Know Know Know Know
not
a
Some- well Very
know little thing
well