Sunday, 4 February 2018

smu mba fall 2017 (jan/feb 2018 exam) IVth sem banking assignment

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ASSIGNMENT
DRIVE                                                           FALL 2017
PROGRAM                                                   MBA
SEMESTER                                                  IV
SUBJECT CODE & NAME                       MA0041/MA0046 &
Merchant Banking And Financial Services
BOOK ID                                                       B1812
CREDITS                                                      4
MARKS                                                         60
Note: Answer all questions. Kindly note that answers for 10 marks questions should be approximately of 400 words. Each question is followed by evaluation scheme.

Ques1 Identify the different types of security issues managed by merchant bankers and interpret the concept of issue management
Ans Security issues can be classified in the following categories:
(i) Public issue
(ii) Rights issue
(iii) Private placement
(i)                 Public issue: A type of issue through which the general public is approached for subscription to the security (to raise capital). It can be of Initial Public Offer (IPO) or Follow-on Public Offer (FPO). The IPO is the public offer a company gives to the public when for the first time the shares


Ques2 Illustrate the concept of Loan syndication.
Ans Syndicated loans emerged in the US market with the buyout deals and in the European market, with the launch of the euro. Syndicated loans or consortium banking/loans should not be confused with multiple banking. In case of syndicated or consortium banking, all the bankers and


Ques3 Describe the functions of Registrar and Transfer Agents.What are the key responsibilities fulfilled by an AMC ?
Ans Registrar and transfer agents (R&T)
Their main objective is to provide services to the investors. They receive and handle investor transactions. R&T agents are paid a minimal sum as fee for their services. They also run investor service centres (ISCs) which provide the facility of receiving investor transactions with


Ques4 What are the different types of Leasing ?Analyse the benefits and limitations of Leasing.
Ans Leasing contracts can be of the following types:
(i) Financial and operating lease
(ii) Sales

Ques5 What are the role and functions of a factor ?Explain the various types of factoring contracts.
AnsThe role and functions of a factor are mentioned below:
1. Administration of sales ledger
The first function of the factor is to maintain the sales ledger of every seller. Performing this function involves the following activities:
• Verify the originality of the invoice bills prepared by the seller of goods.
• Update the sales

Ques6 Enumerate the guidelines for Venture Capital Fund in India.
Ans  Guidelines for Venture Capital Funds
Since 25 January, 1995, SEBI has been the regulating authority for venture capital in India. SEBI has


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PROGRAM
MASTER OF BUSINESS ADMINISTRATION (MBA)
SEMESTER
IV
SUBJECT CODE & NAME
MA0043 CORPORATE BANKING

Qus:1 What are the advantages of corporate banking? Explain different types of loans and advances offered by corporate banks.
Advantages of Corporate banking                                                              3
Types of loans and advances offered by corporate banks                                    7
Answer: The advantages of corporate banking are:
• Focused services to the corporate clients with customer centred solutions that provide a full range of financing options.
• Expertise of staff to deal

Qus:2 Describe the letters of Credit Mechanism
Letters of Credit Mechanism                                                                       10
Answer: Any business/industrial venture involves purchase transactions related to machine/other capital goods and raw material etc., and also sale transactions related to the products. The


Qus:3 Define is factoring? What are the different types of factoring arrangement?
Factoring definition                                                  4
Types of factoring arrangement                              6         
Answer: Factoring can be broadly defined as an agreement in which receivables arising out of

Qus:4 Explain
a) Over drafting
b) Bill Finance
a) Over drafting                                5
b) Bill Finance                                   5
Answer: Overdrafts
Overdraft is a method of granting advances and it resembles the cash credit system. However, to avail of an overdraft facility, the borrower has to open a current account. This account is allowed to be overdrawn up to a certain limit. As in the case of cash credit, here also the borrower need to pay

Qus:5 What are the external and internal reasons for industrial sickness?
External reasons for industrial sickness                              5
Internal reasons for industrial sickness                               5
Answer: External reasons for industrial sickness
The reasons which are understood as external factors are essentially market  conditions and where the macroeconomic environment plays a significant role. These reasons are responsible for rendering a unit

Qus:6 Discuss the regulatory aspects of merchant banking .
Regulatory aspects of merchant banking                           10
Answer: Securities and Exchange Board of India (Merchant Bankers) Rules, 1992
The Notification of the Ministry of finance defines A merchant banker as, ‘any person who is engaged in the business of issue management either by making arrangements regarding selling, buying or subscribing to the securities as manager, consultant, adviser or rendering corporate advisory

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PROGRAM
MASTER OF BUSINESS ADMINISTRATION (MBA)
SEMESTER
IV
SUBJECT CODE & NAME
MA0044 INSTITUTIONAL BANKING

Qus:1 Explain how the role of DFIs is changing in present day business context? What are the challenges faced by the DFIs?
Changing face of DFIs                                 5
Challenges faced by DFIs                             5
Answer: Getting access to finance presents a challenge to companies and the rural people in a developing country like India, especially for SMEs who want to raise funds for the establishment of a new unit


Qus:2 What are the different measures taken by Central government for infrastructural development in India?
Measures taken by Central government for Infrastructural Development in India      10
Answer: PPP projects in infrastructure
As the Government faces a tight budget constraint in the context of rule based fiscal policy framework, it was
Qus:3 What are the challenges faced by MFIs in India?
Challenges faced by MFIs in India                                      10
Answer: In developing countries, where many people lack steady employment, credit history or collateral, there’s often no way for legitimate small businesses to receive a loan. To bridge the gap, microfinance



Qus:4 Explain the functions of National Housing Bank.
Functions of National Housing bank                                   10
Answer: NHB is the apex development finance institution in the housing sector in India. In terms of the National Housing Bank Act, 1987, NHB has been empowered to determine the policy and give directions to the housing finance institutions. Let us now discuss the facilities provided by


Qus:5 Explain the role of following institutions in India
a) PFC (Power Finance Corporation Limited)
b) REC (Rural Electrification Corporation)
a) PFC (Power Finance Corporation Limited)                  5
b) REC (Rural Electrification Corporation                       5
Answer: Power Finance Corporation Limited (PFC)
The PFC was formed with an objective to provide financial assistance to the power and its allied sectors and also to act as a catalyst for bringing about institutional improvements in the functions of the

Qus:6 What are the products offered by IMF?
Products offered by IMF                                                     10
Answer: The IMF provides loans through several different instruments, called facilities, which are tailored to

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DRIVE fall 2017
PROGRAM MBA
SEMESTER IV
SUBJECT CODE &
NAME
MA0042/MA0047
TREASURY MANAGEMENT


1. It is said that treasury exposure allows treasury management to various risks in the organisation. Do you agree ? Justify your agreement/disagreement.
Treasury management and treasury exposure
Answer:
Yes i am agree that treasury exposure allows treasury management to various risks in the organisation because
The high risk environment in which treasuries operate can be linked to three reasons. First of all treasuries are normally operating in a different market than that of the rest of the organisation, namely the financial markets. Secondly, risks are very visible in treasury departments due to the large amount of funds involved: losses on foreign currency exposures or from poor funding decisions

2 Explain Asset Liability Management (ALM) Information System in banks.
Analyse the Interest sensitivity and ALM.
ALM information system
Interest sensitivity and ALM
Answer:

ALM information systems
Information is the key to the ALM process. Considering the large network of branches and the lack of an adequate system to collect information required for
ALM which analyses information on the

3 “Highly rated corporate borrowers in India are permitted to issue unsecured debt-notes to meet the need of their working capital”. In the light of this statement cite two such popular instruments and explain their essential features.
“Highly rated corporate borrowers in India are permitted to issue unsecured debt-notes to meet the need of their working capital”. In the light of this statement cite two such popular instruments and explain their essential features.

Answer: Debentures are the long-term unsecured debt instruments which are not supported by securities. These are issued essentially by corporate for the purpose of raising funds and documented by an agreement



4 Compare and contrast the features of ADRs and GDRs.
Distinguish between Depository Receipts and Participatory Notes.
What is a Foreign Exchange Derivative ?
ADRs and GDRs
Depository Receipts and Participatory Notes
Foreign Exchange Derivative

Answer: The following are the features of GDRs and ADRs:
• These are in the nature of a certificate or receipt issued by an international depository bank outside the country.
• These are issued to non-resident investors.
• These are issued against



5 Critically analyze the tools available for managing risks in a financial institution.

Tools available for managing risks
Answer: Tools available for managing risks
The risk management tools forecasts the analysis and implementation of various methods in order to mitigate risks. It includes several systems and models that enhance correlation of risks and returns across investments and support portfolio management process. The major tools available for risk management are:


6
What are the assumptions in preparation of gap report in terms of assets, liabilities as well as off balance sheet items ?

Assumptions to prepare gap report in terms of Assets, Liabilities and off balance sheet items
Answer: Assumptions in preparation of gap report in terms of assets, liabilities and off balance sheet items
Assets
Assets are nothing but any item of economic value owned by an individual or corporation. Assumptions regarding a

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