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1 What is a Depository? Distinguish it with a Bank.

Discuss the services provided by a Depository.

What is a 'Depository' ? Describe the services offered

by a Depository and discuss the process of
dematerialisation of securities and its advantages.

2 What is the need for promotion of Financial

Products ? What are the main characteristics of
promotional strategies ? What factors determine the
choice of a particular promotion for a product ?

What do you mean by 'Financial Products' ? What are

their important features ? Discuss the factors affecting
the pricing decision of these products.

3 Discuss the scope for Financial Markets training as

an employment opportunity and explain the different
kinds of training opportunities one may come across
in this area.

4 Discuss the role of a Broker in Financial Markets and

explain the 'Deal' processes in a Brokerage House.

5 What is a 'Clearing House' ? What are the functions

of a clearing corporation ? Explain the role played by
the clearing corporation in the trade flow.

6 What do you mean by 'Venture Capital' ? Explain the

different steps that are involved in the Venture Capital
investment process.

What do you understand by 'Venture Capital' ? In

 what form such capital is provided and at what
stage ? Explain the activities undertaken by a venture
capitalist in the whole investment process right from
receiving reference to exiting from the venture capital
undertaking.

Explain briefly the main functions of a Merchant

Banker in respect of Issue Management. Describe the
steps involved in the life cycle of an Initial Public
Offering (IPO) through the process of Book Building.

7 What is the role of 'Research Firms' in financial markets ?

Discuss the different categories of research firms basing on
the business model, clientele and on the basis of their
origin.

What are the types of reports prepared by research and

analysis firms ? Explain in detail the various ingredients of
a company report.

8 What is a 'Prospectus' ? Briefly explain the important

contents of a prospectus and list the various parties
involved in preparation of a prospectus.

9 What is insider trading ? Discuss the major

obligations of the compliance officer and the senior
management under SEBI regulation on insider
trading.

10 What is meant by 'Due Diligence ? Explain its

principal benefits and the process adopted for this
purpose. Discuss the features of an effective due
diligence process.

What do you understand by pricing of financial

products and services ? Discuss the various factors
that impact the pricing decision for financial products
and services of a firm.

What is 'Money Laundering' ? Explain the major

provisions and intermediaries obligations under
Prevention of Money Laundering Act, 2002.