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    Issue Management and Securitization

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    Devz Nambiar
    The document discusses various topics related to financial markets and securities in India. It covers the following key points in 3 sentences: The Securities and Exchange Board of India (SEBI) was constituted in 1992 and regulates the securities market. A banker to an issue is required to maintain books of accounts for a minimum period of three years. Securitisation is the process of pooling and repackaging homogenous, fixed financial assets into marketable securities.

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    © All Rights Reserved
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    Issue Management and Securitization

    Uploaded by

    Devz Nambiar
    37 views2 pages
    The document discusses various topics related to financial markets and securities in India. It covers the following key points in 3 sentences: The Securities and Exchange Board of India (SEBI) was constituted in 1992 and regulates the securities market. A banker to an issue is required to maintain books of accounts for a minimum period of three years. Securitisation is the process of pooling and repackaging homogenous, fixed financial assets into marketable securities.

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    issue management and securitization

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    The document discusses various topics related to financial markets and securities in India. It covers the following key points in 3 sentences: The Securities and Exchange Board of India (SEBI) was constituted in 1992 and regulates the securities market. A banker to an issue is required to maintain books of accounts for a minimum period of three years. Securitisation is the process of pooling and repackaging homogenous, fixed financial assets into marketable securities.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    37 views2 pages

    Issue Management and Securitization

    Uploaded by

    Devz Nambiar
    The document discusses various topics related to financial markets and securities in India. It covers the following key points in 3 sentences: The Securities and Exchange Board of India (SEBI) was constituted in 1992 and regulates the securities market. A banker to an issue is required to maintain books of accounts for a minimum period of three years. Securitisation is the process of pooling and repackaging homogenous, fixed financial assets into marketable securities.

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    (FYBAF: SEM-I,

    110
    Innovative
    Financial Services

    code of conduct for


    bankers to an issue
    TYBMS:SE
    (x) Explain
    broker and sub-broker
    (xi) Meaning of member
    xi) Trading and clearing
    derivative contracts
    (xii) Types of
    Market
    (xiv) Trading in Derivative
    (xv Features of securitisation
    (xvi) Pass Through Certificates
    (xvii) Special Purpose Vehicle
    xvii) Securitisable Assets

    OBIECTIVE OUESTIONS
    A. Select the appropriate
    options and rewrite the following senten=
    1. The Securities and
    in.
    Exchange Board of India (SEBI ) was constitu-
    (a) 1988
    (b) 1990
    1992
    2. The (d) 1987
    issuing company is
    expected to pay
    months from the date of allotment. brokerage within
    (a)two
    (C) one
    (b) four
    3. The. also offer certain (d) three
    services on matters such as other specialized services suchas vise
    (a) Underwriters mergers and advi
    (c) Brokers
    amalgamations.
    (b) Merchant Bankers
    4. A banker to an
    (d) Bankers
    issue is
    minimum period of_ required to maintain books of accounts tof
    (a) two
    years. accounts
    b) four
    (c) one
    5. Where in an order, the client d) three
    it is places a limit on
    acase of the
    price of the
    .

    (a Limit Order t securi


    (b) Best Rate Order'
    (Immediateor Cancel Order
    (d) Stop Loss Order'
    6. A banker to an issue is
    minimum required to maintain
    books
    books of accoun
    period of three years. nts for"
    (a) two
    four
    (b)
    Ythree (d) five
    and Securitisation 111
    Jssue Management
    Securitisation is the process of pooling and repackaging of
    7. - financial assets into marketable securities.
    homogenous,

    (a) liquid fb) illiquid


    fixed (d) current
    (
    ins:(1)- (a), (2) - (a), (3)- (6), (4) - (d), (5)- (a), (6) - (c), (7) - (b)

    B. Fill in the blanks


    MTare in charge of the issue process.
    MCarealso responsible for preparing the prospectus and marketing
    theissue.o salev
    U make a commitment to get the issue subscribed either by others
    or by themselves.
    to
    4 means an offer for sale of securities by any body corporate
    public through a merchant banker.
    5.
    The a r e exposed to the risk of under subscription
    6. A means'any person not being a member of stock exchange
    stock broker as an agent or otherwise for
    who acts on behalf of a

    dealing in securities
    assisting the investors in buying, selling or

    through _uch stock brokers.


    contract between two parties which derives its value/
    7. A is a
    asset.
    price from an underlying
    an agreement to buy or sell a set of
    8. a r e contracts that represent
    in the future for a specified
    amount.
    assets at a specified time
    in stock exchanges.
    9 The settlement systems is adopted
    assets into securities.
    10. i s the process of turning
    10 assets to be securitized from
    which would buy the
    2 is an entity
    the originator.
    Merchant bankers (3) Underwriters (4) Issue
    Ans.:(1) Merchantbankers (2) derivative (8) Futures (9) rolling
    sub-broker (7)
    (5) underwriters (6) Vehicle
    10) Securitisation (11)
    Special Purpose
    C. Match the followin8
    ColumnB
    Column A
    (a) Derivative contract
    1. Factoring (b) Vehicle loan
    2 Securitisation
    (c) Registered with SEBI
    3. Securitisableassets (d) Purchases the book debts
    Futures and forwards
    4 of a company
    5. Sub-broker (e) Converting assets into
    securities

    (b), (4)
    -

    (a), (5) -

    (c)
    Ans.: (1)-((d), (2) -
    (e), (3) -

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