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Management Programme
ASSIGNMENT
SECOND
SEMESTER
201
6
MFP
-
5
:
PROFESSIONALS IN FINANCIAL MARKETS PRACTICE
School of Management Studies
INDIRA GANDHI NATIONAL OPEN UNIVERSITY
MAIDAN GARHI,
NEW DELHI
–
110 068
MFP
-
5
MFP
-
5
:
PROFESSIONALS IN FINANCIAL MARKET
S
PRACTICE 
ASSIG
N
MENT
Course Code
:       
MFP
–
5
Course Title
:        Professionals in Financial Markets Practice 
Assignment Code
:        MFP
-
5/
TMA/
SEM
-
II/201
6
Assignme
nt Coverage
:       
All Blocks
Note
: Attempt all the questions and submit this assignment on or before 31
st
October, 201
6
to
the
Coordinator
of your study centre.
1.
What is a Brokerage House? Describe the different types of brokerage houses. Meet
a Br
oker of your choice and discuss the v
arious activities undertaken by a Broker
.
2.
Explain ‘Due
-
diligence’ and the benefits accruing from a well conceived and
effectively  executed  due
-
diligence  process.  Describe  the  different  documents  that
are required for
financial and accounting due
-
diligence.
3.
Define  Venture  Capital  Undertaking.  What  are  the  activities  undertaken  by  a
venture  capitalist  in  the  whole  investment  process  right  from  receiving  a  reference
to exiting from the Venture Capital Undertaking?
4.
Explain the term ‘Money Laundering’. Discuss the process of Money Laundering.
What are the avenues which have been recently trie
d
by Money Launders?
5.
What  are  the  qualities  of  a  good  equity
Research  Firm
?  Discuss  the  rules  and
regulations enforced by SEBI
on these
firms
.