NISM Series IX Merchant Banking Exam Prep Mock Test
NISM-Series-IX: Merchant Banking Exam Preparation Mock Test with 1500 Question Bank Correct Answer & Detail Explanations
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What You Will Learn!
- 1500+ Question Bank covers all the Test Objectives & Learning Outcomes outlined by NISM, ensuring you're fully equipped for the exam
- Explanation along with Covered Learning Outcome to further strengthen your preparation
- Each Questions Categorized by Chapter Numbers to Easily recall relevant concepts & Instantly identify and reinforce your understanding of key areas
- Knowledge Area Given at End of Each Test to help in assessing weak area and strengthen further
Description
NISM-Series-IX: Merchant Banking Exam Preparation Mock Test with 1500 Question Bank Correct Answer & Detail Explanations
ABOUT THIS MOCK TEST:
Supercharge Your Preparation for the NISM-Series-IX: Merchant Banking Exam! Are you ready to ace your NISM-Series-IX: Merchant Banking Certification Examination with flying colors? Look no further! Our meticulously crafted Online Mock Test is here to empower your journey towards success.
Comprehensive Coverage: Our mock test rigorously covers all the Test Objectives & Learning Outcomes outlined by NISM, ensuring you're fully equipped for the exam.
Detailed Explanations: Each question in our mock test is accompanied by correct answers and detailed explanations. Understand the concepts thoroughly and enhance retention through comprehensive explanations.
Chapter-Based Questions: Easily recall relevant concepts with questions categorized by chapter numbers. Instantly identify and reinforce your understanding of key areas related to each chapter.
Strengthen Weak Areas: At the end of each mock test, we provide insights into the Knowledge areas from which the questions were derived. Identify weak areas and focus your efforts on strengthening them for optimal performance.
Unlock Your Potential: Empower yourself with the knowledge and confidence needed to excel in the Merchant Banking. Our mock test is your pathway to success!
Boost Your Confidence: Practice with confidence knowing you're familiar with the legal framework, operational mechanisms, and technology implementations relevant to the Merchant Banking Operations landscape.
Don't let this opportunity slip away. Invest in your future success now and embark on your journey towards becoming a certified Merchant Banking professional. Unlock your potential with our Online Mock Test!
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NOTE: This Mock Test is part of our printed book with 2200+ Question Bank along with additional learning resources, available on all leading eCom platforms. Visit Author’s website for more information.
BOOK NAME: NISM-Series-IX: Merchant Banking Exam Preparation Guide with 2200+ Question Bank.
KNOWLEDGE AREA, TEST OBJECTIVES & LEARNING OUTCOMES COVERED IN THIS MOCK TEST
NISM Workbook Version: May 2023 used as reference to develop this Mock Test
1. Introduction to Capital Market
Participants in Indian Securities Market
Products in Indian Securities Market
Regulators in Indian Securities Market
Role of Investment Banker in Private Equity
Structure of the capital market
2 . Introduction to the Merchant Banking
Concept and evolution of merchant banking
Core Regulation Delisting of Equity Shares Regulations, 2021
Core Regulation Prohibition of Insider Trading Regulations, 2015
Core Regulation SCRR, 1957
Core Regulation SEBI (Buy-Back of Securities) Regulations, 2018
Core Regulation SEBI Act, 1992
Core Regulation SEBI LODR Regulations 2015
Core Regulation SEBI MB Regulation 1992 & SEBI ICDR Regulation 2018
Core Regulation SEBI SAST Regulations, 2011
Merchant Banking in the International Scenario
Support Regulation AIF Regulations, 2012
Support Regulation CAPSM Regulations, 2007
Support Regulation Companies Act, 2013
Support Regulation Competition Act, 2002
Support Regulation Depositories Act, 1996 & SEBI DP Regulations, 2018
Support Regulation FEMA 1999
Support Regulation Foreign Portfolio Investors Regulations, 2019
Support Regulation Investment Adviser Regulations, 2013
Support Regulation PMLA 2002
Support Regulation Research Analyst Regulations, 2014
Support Regulation SEBI (Bankers to an Issue) Regulations, 1994
Support Regulation SEBI (Intermediaries) Regulations, 2008 & SBEBSE Regulations, 2021
Support Regulation SEBI ILNCS Regulations, 2021
Support Regulation SEBI InvIT Regulations, 2014
Support Regulation SEBI REIT Regulations, 2014
Support Regulation SEBI RTA Regulations, 1993
3. Registration, Code of Conduct & General Obligations of Merchant Bankers in India
Becoming a merchant banker
Code of Conduct for Merchant Bankers
Eligibility Criteria of MB
General obligations and Responsibilities of MB
Redressal of Investor Grievances and SCORES
Registration, Renewal Fees & Validity of MB
4. Issue Management – Important Terms
Various terms related to Offering
5. Issue Management - Process and Underwriting
Allotment, Refund and Payment of Interest
Draft Offer Document and offer document to be made public
Due Diligence and Preparation of Offer Document
Filing of Offer Document
FURTHER PUBLIC OFFER
IPO
Issuance Conditions and Procedures
Issue Management
Listing Approvals from Stock Exchange
Obligation of stock exchange(s) relating to in-principle approval as under
Obligations Relating to Issues
Opening, Closing and Listing of an issue
Post Issue Functions, Reporting and Compliance
Preparation of Offer Document
Pricing of Issue
Underwriting
6. Issue Management - General Obligations of Merchant Bankers and Due Diligence
Disclosures relating to Group Companies & Litigations
General Information Document (GID)
General Obligations of MB
Identification of Promoters and Promoters Group
Indian Depository Receipts
Lock-in of Specified Securities
Pricing
Pricing and Restrictions on Allotment
Qualified Institutional Placement
Reservation in IPO’s
Rights issue
7. Other Merchant Banking Activities - Mergers, Acquisitions & Takeovers
Mergers, Acquisitions & Takeovers
Role of MB in Mergers, Acquisitions & Takeovers
SEBI SAST Regulation 2011
8. Other Merchant Banking Activities - Disinvestment, Buyback of Equity Shares
Disinvestment
Obligation of MB under Issue and Listing of Debt Securities
Obligations of Merchant Banker in Buy back of Equity Shares
Rol of MB in in Delisting of Shares
Rol of MB in in Issue and Listing of Debt Securities
Role of MB in Share Based Employee Benefits & cases where exit opportunity is required to be given to dissenting hareholders
Role of MB in SME
Role of Merchant Banker in Buy back of Equity Shares
Who Should Attend!
- In order to create a common minimum knowledge benchmark for employees working with SEBI registered Merchant Bankers and performing various SEBI regulated functions such as those relating to IPO, FPO, Open offer, Buy-back, Delisting etc., and are involved in, or deal with any of the following:
- The investors, issuers or clients of intermediaries
- Assets or funds of investors or clients
- Redressal of investor grievances
- Internal control or risk management
- Activities having a bearing on operational risk
- Maintain books and records pertaining to above activities
- Students
- Stick Market Professionals
- Investment Bankers
- Merchant Banking Professionals
- Mutual Fund Professionals
- MBA Finance Students
- Aspiring Students for Career in Investment Banking & Merchant Banking
- The exam will further seek to ensure basic understanding of various aspects of capital market functions, the processes involved in various functions of registered Merchant Bankers and the regulatory environment in which it operates.