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WorksheetsDeployment Quiz -Compliance
Total questions: 20
Worksheet time: 10mins
Which amongst this is the by default Disclaimer to be given on each and every call.
Mutual Fund Investments are Subject to Market risk, read all scheme related documents carefully
Principal is at high Risk
Past Performance may or may not be sustained in future
None of the Above
IF US/Canada person wishes to invest online than what needs to informed on call?
Follow script and guide for investments
Needs to takes follow up call back
Guide Investor to Branch
Take down details and forward to concern department
Benchmark returns are read out along with scheme returns.
True
False
If on call investor require details for Direct Investments than which amongst the following needs to be followed?
BSO needs to pitch that please consult to your Mutual Fund Distributor
BSO further should take follow up call
BSO needs to take Investment details and share link
BSO needs to disconnect call.
Choose the correct Brand name to be followed on call.
ICICI PRU Mutual Fund
ICICI Prudential Mutual Fund
IPRU Mutual Fund
ICICI Mutual Fund
While pitching schemes Comparison needs be done with schemes of other mutual fund to grab investor's Interest ?
True , Pitch Depends on as per investors interest
False, No Comparison to be done rather say we don’t have any information of other Mutual Fund House
Which of the following Slogan needs to be pitched on call while explaining schemes ?
Mutual Fund Sahi Hai!
Ab Utar-Chadhav se Darr kaisa
Both A and B
No Slogans to be used on call
Which of the following can be said as a strong consent ?
Investor received sms as he clicked on it he got call
Investor Received mail from ICICI Prudential Mutual Fund and he opens it.
Investor got OTP verified and gave call back request
Both A and C
Riskometer for schemes is not required if schemes returns are not discussed
True, Riskometer is not required on each call
FALSE, After providing scheme name and features Riskometer needs to be given on call.
Investor can be informed about the market conditions and future predictions can be made for current market scenario
FALSE, Future predictions are not to be discussed however market scenario can be discussed
True , To Grab investors interest the above pitch is helpful
While discussing any scheme which four things needs to be taken into consideration ?
Complete scheme name, scheme type , product label , Mutual Fund disclaimer
Fund manager details, Complete scheme returns, Beta , Returns Disclaimer
Mutual Fund disclaimer Beta of the scheme , returns disclaimer , Complete scheme name
Fund manager details , Complete scheme returns, Product label, Mutual Fund disclaimer
We can share approximate scheme returns as we are not giving any assurance of returns
True , no assurance of returns to be given
False, Returns exactly to be informed from Factsheet and than Returns Disclaimer to be given
To know about the details of the other schemes managed by the fund manager which document Investor can refer?
Website page to be guided
Factsheet needs to be guided with accurate scheme page no.
There is no such Document to be guided
Scheme one pagers
Which of the following words can be used on calls ?
Good, Bad , Accurate
Our scheme is giving these returns
One of the best Fund Manager is managing this scheme
None of the above
Scheme recommendation is done according to the risk profile of the investor
TRUE, Suggestions needs to be given as per risk profile
False, It is as per recommended scheme by Fund Manager
While Pitching Long Term Equity Fund Lock in Period is not to be informing lock in period is not mandatory
True , As investor may not do investments.
False, Details informed needs to be transparent and accurate
We can suggest ideal scheme for our investor
False, Scheme suggestions are done by professional fund manager.
True , It is a type of pitch on call to be used.
Returns Disclaimer needs to be discussed on each call by default
True , To inform investors about the returns are not guaranteed
False, Only on those calls where returns of the schemes are discussed
As per performance guidelines it is mandatory to inform about the other schemes managed by the same fund manager
True, Details informed needs to be transparent
False, No such details are mandatory
Riskometer of the scheme can be avoided on call and given on follow up call as call back has been taken
True, It is allowed
FALSE, Need to give Disclaimer's on the first call itself
