E-Learning
Mastering E-Learning in Risk Management
Test your knowledge on risk management and mutual fund regulations with our comprehensive quiz! With 78 thoughtfully crafted questions, this quiz is designed for anyone looking to enhance their understanding of e-learning in the financial sector.
- Understand risk management frameworks
- Learn about financial regulations and mutual funds
- Assess your knowledge and improve your skills
Which of the below options deals with the structure, rules, processes and mechanisms to make decisions about risks factors?
Risk Governance
Risk Identification
Internal Control
Business and Support Unit
Business and Support units fall under which line of defense?
First Line of Defense
Second Line of Defense
Third Line of Defense
None of the above
Under which one the risk management framework/internal control falls?
First Line of Defense
Second Line of Defense
Third Line of Defense
None of the above
Which line of defense is bank's Internal Audit?
First Line of Defense
Second Line of Defense
Third Line of Defense
None of the above
What is the effective method for Operational Risk Assessment?
Self-Risk Assessment
Risk Mapping
Risk Indicator
Historical data analysis
All of the above
The Risk factors in banking operations can be completely omitted.
TRUE
FALSE
Which of the below is required for an effective Internal Control System?
Appropriate segregation of duties
Direct operational activities for auditors
Qualitative analysis of Risk Factors
All of the above
One specific unchangeable checklist is crucial for every department.
TRUE
FALSE
More focus should be provided on which items?
High Risk Items
Medium High Risk Items
Medium Low Risk Items
Both A and B
The amount of risks an organization is prepared to pursue/take is known as -
Risk Limit
Risk Governance
Risk Appetite
Risk Management
Governance is the way rules, norms and actions are structured, sustained, regulated and held accountable.
TRUE
FALSE
Shifting the risk to other areas of the business or to outside entities is known as-
Risk Mitigation
Risk Acceptance
Risk Avoidance
Risk Transference
Proactive measure to eliminate or minimize risk is known as -
Risk Avoidance
Risk Mitigation
Risk Transference
None of the above
Reactive measures to minimize risks is known as-
Risk Avoidance
Risk Mitigation
Risk Transference
Both A and B
Both B and C
What is the minimum % of the annual net income of the mutual fund shall be distributed as dividend at the end of each accounting period?
60%
70%
80%
100%
What is the minimum % of total asset of the mutual fund shall be invested in capital market?
30%
40%
50%
60%
What is the minimum % of targeted mutual fund to be collected for commencement of investing activities of mutual fund?
30%
35%
40%
50%
How much amount is tax exempted income from a mutual fund or unit fund?
Maximum Tk. 50,000
Maximum Tk. 25,000
Maximum Tk. 5,000
No Exemption allowed
Which one of below regulations not related to Merchant Bank?
Credit Rating Companies Rules, 1996
Securities and Exchange Commission ACT 1993 and
Exchange Commission (Mutual fund) Rules, 2001
All of the Above
What is face value of per unit of mutual Fund?
Tk. 10
Tk. 15
Tk. 20
Tk. 30
Who is the Trustee of EBLAML 1st Unit Fund?
ICB Capital Management Co. Ltd.
Vanguard Asset Management Co. Ltd
RACE Asset Management Co. Ltd.
All of the Above
Who is the sponsor of EBLAML 1st Unit Fund?
Eastern Bank Ltd
EBL Securities Ltd
EBL Investments Ltd
EBL Asset Management Limited
How many Mutual Fund products launched by EBL Asset Management Limited?
1
2
3
4
What is the name of Mutual Fund launched by EBL Asset Management Limited?
EBL 1st Mutual Unit Fund
EBL AML 1st Unit Fund
EBLAML 1st Mutual Fund
None of the Above
Which is not the product of EBL Asset Management Limited?
Non-Discretionary Portfolio Management
Discretionary Portfolio Management
Monthly Investments Scheme
All of above
What is the name of EBLβ Merchant Bank subsidiary company?
EBL Investment Private Company Ltd.
EBL Investments Ltd.
EBL Investment Ltd.
EBL Investment public Co. Ltd.
EBL Investments Ltd is a Public Ltd. Co.
TRUE
FALSE
EBL Investments Ltd is a Private Ltd. Co.
TRUE
FALSE
Commencement of business of EBL Investments Ltd.-
4th August , 2011
13 December, 2012
4th August, 2013
13 December , 2014
Date of incorporation of EBL Investments Ltd.-
4th August , 2008
13 December, 2009
4th August, 2010
13 December , 2011
Merchant Bank License to be obtained from-
DSE
BSEC
RJSC
CDBL
ΒA grip on the present, an eye on the futureβ is the vision of EBL Investments Ltd.
TRUE
FALSE
Authorized Capital of EBL Investments Ltd.
100 Crore
75 Crore
50 Crore
25 Crore
Paid Capital of EBL Investments Ltd.
100 Crore
50 Crore
30 Crore
20 Crore
Which of following govern the Merchant Bank Activities
BSEC Rules, 2020 Instead of BSEC Rules, 1987
BSEC Bidhimala 1996 (Merchant Banker and Portfolio Mangaer)
Margin Rules, 1999
All of above
Can Merchant Bank provide Margin loan to its client?
YES
NO
What is present margin ratio?
1:0.50
1:0.60
1:0.70
1:0.80
Which is the product of EBL Investments Ltd?
Non-Discretionary Portfolio Management
Discretionary Portfolio Management
Monthly Investments Scheme
All of above
Which is not the product of EBL Investments Ltd?
Non-Discretionary Portfolio Management
Discretionary Portfolio Management
Monthly Investments Scheme
Mutual Fund
Which one of below regulations not related to Merchant Bank?
BSEC Rules, 2020 Instead of BSEC Rules, 1987
BSEC Bidhimala 1996 (Merchant Banker and Portfolio Mangaer)
Stock dealer, Stock brocker, Authorized Representative Regulation 2000
Margin Rules, 1999
Which of the Following Services EBL Investments can provide?
Primary Market Operations
Debt Capital Management
Corporate Advisory
Secondary Market Operations
All of Above
Primary Market Operations services includes-
Initial Public Offerings (IPO)
Rights Issue Offering
Underwriting (IPO, RPO, Rights & Bonds)
All of Above
Debt Capital Management Services includes-
Loan Syndications
Trustee Services
Private Placement
All of Above
Corporate Advisory Services includes-
Mergers and Acquisitions
Capital Structure Restructuring
Pre-IPO Capital Raising, BSEC approval and arranging
All of Above
Which of the following software is used by EBL Investments Ltd?
UCAS
UBS
MBANK
Bluechip
Who owned the EBL Asset Management Limited?
Eastern Bank Ltd.
EBL Investments Ltd.
EBL Securities Ltd.
ALL of Above.
EBL Asset Management Ltd. Is a Public Ltd. Co.
TRUE
FALSE
EBL Asset Management Ltd is a Private Ltd. Co.
TRUE
FALSE
Date of incorporation of EBL Investments Ltd.
4th August , 2008
09 January, 2011
4th August, 2010
13 December, 2011
Asset Management License to be obtained from-
DSE
BSEC
RJSC
CDBL
Authorized Capital of EBL Asset Management Limited.
100 Crore
75 Crore
50 Crore
25 Crore
Paid Capital of EBL Asset Management Limited.
100 Crore
50 Crore
25 Crore
20 Crore
Which of following govern the Merchant Bank Activities
BSEC Rules, 2020 Instead of BSEC Rules, 1987
BSEC Bidhimala 1996 (Merchant Banker and Portfolio Manager)
Margin Rules, 1999
All of above
Which of the following is/are the product of EBL Asset Management Limited?
Portfolio Management
Mutual Fund Management
Monthly Investments Scheme
A & B
What percentage of share of the brokerage house named "LRK Securities Limited" acquired by EBL in 2010?
30%
60%
40%
50%
In which year, Eastern Bank fully acquired EBL Securities holding 100% of its share?
2009
2013
2012
2008
Authorized Capital of EBL Securities Ltd.
200 Crore
150 Crore
100 Crore
125 Crore
Paid Capital of EBL Securities Ltd.
100 Crore
150 Crore
120 Crore
140 Crore
Who is the current Chairman of the Board of EBL Securities Ltd. ?
Mr. Meah Mohammed Abdur Rahim
Mir Nasir Hossain
Mr. Mohd. Noor Ali
Mr. Ahmed Jamal
Which of the Following Services EBL Securities can provide?
Depository Services
Trading Services
Margin Loan Facilities
Foreign Trade Services
All of Above
How many branches does EBL Securities Ltd have?
3
4
2
5
Which of the following back office software is used by EBL Securities Ltd?
U-Broker
UBS
MBANK
Bluechip
When did the U-broker software go live with EBLSL as back office software
01-Jan-21
30-May-21
01-06-2021
01-Mar-21
What is the eligible amount of matured shares (in tk.) to be hold by an investor to apply for IPO?
100 K
20 K
50 K
10 K
"A block trade is a high-volume transaction in a security that is privately negotiated and executed outside of the open market for that security"- here the minimum volume eligible for block trade?
2 lac
6 lac
5 lac
10 lac
In how many categories, companies are divided accoring to the holding of AGM/ dividend declaration/ not in operation/ accumulated loss?
2
3
4
5
Companies which are regular in holding the Annual General Meetings and have declared dividend at the rate of 10 percent or more in the last English calendar year, are called?
B-Category Companies
A-Category Companies
N-Category Companies
Z-Category Companies
Companies which have failed to hold the Annual General Meeting when due or have failed to declare any dividend based on annual performance or which are not in operation continuously for more than six months or whose accumulated loss after adjustment of revenue reserve, if any, exceeds its paid up capital, are called?
B-Category Companies
A-Category Companies
N-Category Companies
Z-Category Companies
Which type of securities are not entitled to enjoy margin facilities from 1st to 30th trading day?
N Category
Category changes
None
A & B
What will be the settlement cycle for maturing shares if any one buys any share from Category A,B or N ?
T+3
T+1
T+2
T+0
What will be the settlement cycle for maturing shares if any one buys any share from Category Z ?
T+9
T+3
T+2
T+4
What is the maximum cash deposit limit for a client in a single day in client code?
10 lac
7 Lac
8.75 Lac
8 Lac
The securities permitted by the exchange to be bought and carried in margin accounts are called--
Marginable Securities
Tradable Securities
Non-marginable Securities
None
What is the highest PE Ratio, above which securities buy are not permissible in Margin account?
25
30
40
35
After how many working days, a cash client will be entitled to get margin facilities upon his first deposit?
10
7
20
15
Exposeure to a single client I.e. Credit facilities should not exceed 25% of its average net capital. Is it true or false?
TRUE
FALSE
Exposure to a single security I.e. Credit facilities should not be given 100% of its average net capital. Is it true or false?
TRUE
FALSE
Opning of a BO account of authorized representative and his/her family members are strictly prohibited.
TRUE
FALSE
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