DFIN403 MERCHANT BANKING AND FINANCIAL SERVICES JULY AUGUST 2025

Description

SESSION	JUL-AUG 2025
PROGRAM	MASTER OF BUSINESS ADMINISTRATION (MBA)
SEMESTER	4
COURSE CODE & NAME	DFIN403 AND MERCHANT BANKING AND FINANCIAL SERVICES

 

 

 

Assignment Set – 1

 

 

Q1. Discuss the role of Underwriters and Brokers in Issue Management. Explain their responsibilities in the capital market. 5+5  

Ans 1.

Role of Underwriters in Issue Management

Underwriters play a crucial role in issue management by providing assurance to companies that the proposed issue of securities will be successfully subscribed. An underwriter is a financial intermediary who agrees to purchase any portion of a public issue that remains unsubscribed by investors. This commitment reduces the risk faced by the issuing company and enhances investor confidence in the capital market.

In issue management, underwriters assess the financial position, growth prospects, and risk

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Q2. What are Mutual Funds? Explain the various types of mutual fund schemes.        3+7

Ans 2.

Mutual Funds

A mutual fund is a professionally managed investment vehicle that pools money from a large number of investors and invests it in a diversified portfolio of securities such as equity shares, bonds, money market instruments, and other assets. Each investor owns units representing a proportionate share of the fund’s holdings. Mutual funds provide small and medium investors access to diversified portfolios, professional management, and regulated investment opportunities.

Mutual funds are managed by asset management companies and operate under strict

 

Q3. Explain the concept of Merchant Banking in detail. Discuss the development of Merchant Banks in India and their role in the financial system 4+6  

Ans 3.

Merchant Banking

Merchant banking refers to specialised financial services provided by financial institutions to corporate entities for managing capital raising, corporate restructuring, and advisory functions. Unlike commercial banking, which focuses on deposits and lending, merchant banking concentrates on fee-based services related to the capital market and corporate finance. Merchant bankers act as intermediaries between companies and investors, assisting

 

 

Assignment Set – 2

 

 

Q4. Write and discuss about different credit rating agencies in India. 10          

Ans 4.

Credit Rating Agencies

Credit rating agencies are specialised institutions that assess the creditworthiness of borrowers, debt instruments, and financial products. Their primary function is to evaluate the ability of issuers to meet their financial obligations in a timely manner. Credit ratings provide investors with an independent opinion on credit risk and assist in informed investment decision-making.

In India, credit rating agencies play a crucial role in promoting transparency, efficiency, and

 

Q5. Define Portfolio Management. Explain the major theories of portfolio management.  3+7

Ans 5.

Portfolio Management

Portfolio management refers to the process of selecting, constructing, and continuously managing a collection of financial assets such as shares, bonds, mutual funds, and other securities in order to achieve specific investment objectives. The primary aim of portfolio management is to maximise returns while minimising risk according to the investor’s risk appetite, time horizon, and financial goals. It involves decisions related to asset allocation, diversification, risk assessment, and periodic review of investments. Professional portfolio

 

 

Q6. Write a Note on :

1. Type of Leasing
2. Advantages of factoring contracts 5+5

Ans 6.

(a) Types of Leasing

Leasing

Leasing is a financial arrangement in which the owner of an asset, known as the lessor, provides the right to use the asset to another party, called the lessee, for a specified period in exchange for periodic lease payments. Leasing allows firms to use assets without making large upfront investments and is widely used as an alternative source of financing.

Operating Lease

An operating lease is a short-term lease agreement in which the ownership risks and rewards remain with the lessor. The lease period is generally shorter than the economic life of the