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Advanced Wealth Management Course (IIBF) - Paper 1
Part I: Ch 9: Regulation of the Indian Financial System
Q1.
Indian’s Central bank – the RBI – was established on__________.
Q2.
Which was order of creation of regulation authority?
Q3.
Prudential supervision by RBI is achieved through controls on banks including amounts of capital held and liquid assets.
Q4.
Regulation performs an important role in:
Q5.
The National Stock Exchange (NSE) was incorporated in ___________ by Industrial Development bank of India.
Q6.
Prudential supervision is concerned with:
Q7.
(I) RBI licenses and prudentially regulates all banks, Insurance Companies and Non-Banking Finance Company. (II) NSE brings an integrated stock market trading network across the nation.
Q8.
Which is the main regulatory authority currently responsible for supervising Superannuation products:
Q9.
Which of the following function/s and power/s of the RBI?
Q10.
The self regulatory bodies is/are:
Q11.
The main regulatory authority currently responsible for supervising Money changers:
Q12.
SEBI has responsibility for financial system’s stability, confidence and efficient performance.
Q13.
The rules governing all companies and other securities listed on the Indian stock exchanges are known as the ‘Business and Listing Rules’.

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