Financial Markets, Institutions and Financial Services Question Paper 2020 (Held in 2021), Assam University B.Com 5th Sem Question Paper

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)
Course No.: COMDSE-501T (E)
(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.


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

1. Management Accounting: 2021
2. Fundamentals of Financial Management: 2021
3. Principles of Marketing: 2021
4. Human Resource Management: 2021
5. Auditing and Corporate Governance: 2021

6. Financial Market, Institutions and Financial Services: 2021


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.


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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