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DRIVE SPRING 2016
PROGRAM MBA
SEMESTER IV
SUBJECT CODE &
NAME
MA0041/MA0046
MERCHANT BANKER
1
“Every merchant banker shall abide by the codes of conduct as specified in the
SEBI Act 1992” In the light of the statement describe the guidelines issued in
the Act.
Code of conduct
for Merchant Bankers
Answer: Code of Conduct for Merchant Bankers
The code of
conduct for merchant bankers is under the heading of General Obligations and
Responsibilities in the SEBI Act 1992. Every merchant banker shall abide by the
code of
2
“Through the mechanism of book building the listed companies can raise capital
by offering Initial Public Offers (IPOs) as well as Follow-on Public Offers
(FPOs)”. Enumerate by citing the relevant guidelines.
Book Building
Process, Methods
and guidelines
Answer: Methods and Guidelines for Book Building
According to
SEBI guidelines, an issuer company can follow the process of book building in
two ways.
(i) 75 per cent
of net offer to the public through book building process.
(ii) 100 per
3
Define and distinguish American Depository Receipts (ADRs) and Global
Depository Receipts (GDRs). Who are the parties involved in ADR/GDR issues ?
American
Depository Receipts (ADRs) and Global Depository Receipts (GDRs) &
Differences
Parties involved
in ADR/GDR issues
Answer: ADR/GDR
issue involves various parties who have some specific role to play in the
global issue. These parties can be a single individual or a group of
individuals and ingenuous endeavours
4
Explain the following merchant banking services:
a) Factoring
b) Forfeiting
c) Venture
Capital Financing
d) Loan
syndication
Answer: a) Factoring: Factoring
can be defined as a specialized service provided by financial institutions in
which the latter buy (through an agreement) receivables from the seller of
5
Enumerate the concept and risks inherent in Portfolio management. How will you
measure the risks and returns of a portfolio?
Concept of
Portfolio management & types of risks
Risks and
returns of a portfolio
Answer: Risks and Returns of a Portfolio
The following equations are used to measure the risks and
returns of a portfolio. The following is an
6
“The credit rating methodology used by the major Indian Credit Rating Agencies
(CRAs) involves an assessment of all aspects influencing the creditworthiness
of an issuer company”.
What are the
main factors considered for detailed analysis by the major CRAs?
What are the
limitations in credit ratings?
Rating
methodology
Answer: Rating
methodology used by the major Indian CRAs is more or less the same. The rating
methodology involves an assessment of all the aspects influencing the
creditworthiness of an issuer company e.g. business, financial and industry
features, operational competence, the ability
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