Page 137 - DCOM304_INDIAN_FINANCIAL_SYSTEM

Indian Financial System

Notes A statistical analysis is carried out to determine that the risk levels are in tune with the risk
appetite of the particular fund. Statistical tools such as the standard deviation and risk-adjusted
return measures such as the Sharpe ratio are calculated in order to compare the returns generated
per unit of risk vis-à-vis benchmarks.
The investment policy has been designed by the Board to cover regulatory guidelines, the
various product investment styles. It is ensured that the portfolio is always kept complaint with
the relevant regulations. Our rigorous process and risk/compliance control are will documented.

Self Assessment

Fill in the blanks:
7. A statistical analysis is carried out to determine that the ………………. levels are in tune
with the risk appetite of the particular fund.
8. The …………………. bid amount for QIBs exceeds ` 1,00,000 and in multiples thereafter.
9. The ………………….. bid size not exceeding the Issue subject to regulations as applicable
to the bidder
10. ……………. are the persons mainly concerned with procurement of subscription to the
issue from the prospective investor.
11. Book building is basically a process used in …………………… for efficient price discovery.

12. …………………..Enables the surrender and withdrawal of securities to and from the
depository (dematerialization and rematerialisation).
13. To improve the settlement system and minimize the risks associated these in, NSE has set
up a subsidiary ……………………… .

7.4 Nomination Facility

One has to submit a nomination form duly filled in duplicate and signed. If more than one
person are holding shares along with other holders then all the holders will have to sign the
nomination form. After the form is received by the company, and if found in order, a registration
number will be allotted to the nomination. A duplicate copy of the nomination form received
from shareholder will then be returned back with an endorsement indicating the registration
number and date. Nomination can be made only in respect of shares held in physical form. In
case of dematted shares, your nomination has to be recorded with your Depository Participant.
Only one nomination can be made for each folio. Folios having different order or combination
of names of shareholders will require separate nominations. Upon death of a shareholder, the
nominee is entitled to have the shares transmitted in his favour. He/She will have to give a
notice in writing to this effect along with the share certificate(s) of the deceased shareholders.
Alternatively, the nominee can transfer the shares held by the deceased shareholder, to a third
party. If a nominee opts for registration of shares in his name, he is required to produce proof of
identity, e.g., copy of passport, driving license, voter's identity card or such other proof to the
satisfaction of the company. The nominee should also submit his specimen signature duly
attested along with a request for transfer. Upon scrutiny of the documents submitted by the
nominee, shares will be transmitted in his favour and share certificates returned to him duly
endorsed. The surviving shareholders will have to submit a request letter supported by an
attested copy of the Death Certificate of the deceased shareholder and the relevant share
certificates. The company on receipt of the said documents will delete the name of deceased
shareholder from its records and return the share certificates to the applicant/registered holder
with necessary endorsement.

Additional Information sourced from KARVY. Com (Investors services)

132 LOVELY PROFESSIONAL UNIVERSITY