PROGRAM MBA - SEMESTER IV

SUBJECT CODE & NAME - MA0041/MA0046 & Merchant Banking And Financial Services
1. Identify the different types of security issues managed
by merchant bankers
and interpret the concept of issue management
Types of Security Issues
The issues of capital are managed by category I of merchant bankers and
comprise the most important aspect of the services that they provide.
Corporate securities, involving public issues, engage marketing of capital
issues of companies that are new and existing. The public issues are handled
by the involvement of different agencies such as auditors, legal advisors,
registrar etc. Merchant banker is that agency at the top most level that
plans, coordinates aswell as controls the entire issue activity. Ideally, a
procedure of managing a public issue is divided into two phases, which are,
pre-issue management and post-issue management.

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2. Illustrate the concept Loan syndication.
Loan Syndication
Syndicated loans emerged in the US market with the buyout deals and in the
European market, with the launch of the euro. Syndicated loans or
consortium banking/loans should not be confused with multiple banking. In

case of syndicated or consortium banking, all the bankers and finance

institutions provide loans to a single borrower after following a common
appraisal system or arrangement which is carried on very systematically. But
in the case of multiple banking, all the bankers have their own criteria for
lending money to a single borrower.

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3.
Describe the functions of Registrar and Transfer
Agents. What are the key responsibilities fulfilled by an
AMC ?
Registrar and transfer agents (R&T)
The functions performed by the R&T agents are described here.

Key Responsibilities Fulfilled by Asset Management Company (AMC)

The following are the key responsibilities fulfilled by an AMC:
1. To ensure that the investment of any mutual fund scheme is as per the
regulation of the regulatory body.
2. To take proper diligence and care while making any investment decision.
3. To obtain prior in-principle approval from the stock exchange where the
mutual fund is going to be listed.
4. To take the responsibility for the acts of commission and omission by its
employees or any other person who has provided services to AMC.

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4. What are the different types of Leasing ? Analyse the
benefits and limitations of Leasing.
Types of Leasing
Leasing contracts can be of the following types:
1. Financial and operating lease: - In case of a financial lease, the lessor
transfers all types of rewards and risks associated with the underlying asset
of the lease contract to the lessee. But the ownership still lies with the lessor.
Operating lease is one which is not a financial lease. Here the lessor does not
transfer all rewards and risks to the lessee.
2. Sales and lease back and direct lease: - In this type of lease, the first
lessee sells (for cash) one particular asset to the lessor and takes that asset
back from the lessor on payment of fixed rentals for a specific period of time.
This type of lease can be either a financial or operating

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5. What are the role and functions of a factor ? Explain

the various types of factoring contracts.
The Role and Functions of a Factor
The role and functions of a factor are mentioned below:
1. Administration of sales ledger: - The first function of the factor is to
maintain the sales ledger of every seller.
2. Receivable collection is another task of the factor. The factor relieves
the client from the task of collection of receivables so that the client can
concentrate on other, more important aspects of the business. Factors have
adequate resources like good infrastructure, technology and

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6. Enumerate the guidelines for Venture Capital Fund in

India.
Guidelines for Venture Capital Funds
A brief description of the SEBI guidelines is given below:
(i) Registration of venture capital fund

This includes application for grant of a certificate. Any company or trust or

corporate body proposing to carry on any activity as a venture capital fund
should apply to the Board (SEBI) for grant of a certificate. If the company or
trust or corporate body is carrying out an activity as a venture capital fund
without a certificate, they need to make an application to the Board for grant
of a certificate within three months from the date of commencement of work.
In some special cases the Board may also extend the above stated period up
to a maximum of six months from the date of commencement of work.

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