iii. reports - shodhgangashodhganga.inflibnet.ac.in/bitstream/10603/9519/14/14_appendix.pdf · iii....
TRANSCRIPT
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III. REPORTS
Annual Reports of RBI (2000 – 2010)
Annual Reports of SEBI (2000 – 2011)
Gupta L.C, “Indian share owner–A survey”, Society for Capital Market Research and
Development, (2011), New Delhi.
Gupta L.C, Naveen Jain and Team, “Indian Household Investors Survey-2004”, Society
for Capital Market Research and Development”, (2006), Delhi.
Hong Kong Exchanges and clearing Ltd (HKEx), (2001-02), Derivatives Retail Investor
Survey (DRIS).
Santi Swarup K, “Measures for Improving Common Investor Confidence in Indian
Primary Market: A Survey”, Research Publication, 2008, nseindia.com.
Securities and Exchange Board of India-National council of Applied Economic Research
(SEBI – NCAER), “Survey of Indian investors”, Chartered Secretary, Vol. XXX, No.9,
2010, pp: 1201-1207.
IV. WEBSITES
www.nse-india.com
www.bseindia.com
www.sebi.gov.in
www.moneycontrol.com
www.watchoutinvestors.com
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www.rbi.org.in
www.nyse.com
www.nsadag.com
www.epwrf.res.in
INTERVIEW SCHEDULE
PART 1: SOCIO ECONOMIC PROFILE
1. Age : Below 25 years 25 - 35 years
: 35 - 45 years 45 - 55 years
: 55 & above
2. Gender : Male Female
3. Marital Status : Married Unmarried
4. Educational Level : School Education
: College Education
: Professional
: Others, Specify___________________
5. Occupation : Salaried
: Professional
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: Business
: Retired
: Others, specify ___________________
6. No. of Members in the Family :
7. No of Earning Members
in the Family :
8. Monthly Family Income : Below Rs. 10,000
: Rs. 10,000 – Rs. 20,000
: Rs. 20,000 – Rs. 30,000
: Rs. 30,000 – Rs. 40,000
: Rs. 40,000 & above
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PART 2: INVESTMENT PROFILE AND PATTERN
2.1 Type of investor
Hereditary investor New generation investor
2.2 Category of investor
Long term investor Day trader both
2.3 Type of market Operated
Primary market Secondary market both
2.4 Experience in the market
Less than 1 year 1-3 years 3 years & above
2.5 Number of companies in which investment is made
Less than 10 10-20 20 & above
2.6 State the approximate size of investment in shares as on date
Below Rs. 1 Lakh
Rs. 1 lakh – Rs. 2 lakhs
Rs. 2 lakhs & above
2.7 State the source of investment
Own savings Borrowings Both
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2.8 State the Percentage of your savings invested in shares
Less than 15 % 15% - 30 % 30% and above
2.9 Rank the following sources of investment information based on usage and
reliability
(1 to 10)
S. No Sources of Investment Information Rank
a Abridged Prospectus
b Newspaper Journals & Magazines
c TV Channels
d Investments Related Websites
e Brokers / Analysts Forecast
f Investor Forum
g Technical Analysis
h Company Announcements
i Stock Exchange Announcements
j Others (Friends , Relatives etc)
2.10 Mode of trading
Online Offline Both
2.11 State the trading volume per month
a. Long-term investor
Less than Rs. 1 lakh
Rs. 1 Lakh – Rs. 2 lakhs
Rs. 2 lakhs & above
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b. Day trader
Less than Rs. 50 Lakhs
Rs. 50 Lakhs – Rs 1 Crore
Rs. 1 Crore & above
2.12 State the indices you frequently refer
S. No Indices Tick ( )
a Sensex
b S&P CNX Nifty
c CNX Nifty Junior
d CNX 100
e S& CNX 500
f CNX Mid-cap
g CNX Mid-cap 200
2.13 Are you a member of any investor forum?
Yes No
If yes, specify the period
Less than 1 year 1- 3 years 3 years & above
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PART 3: INVESTMENT PREFERENCES & RISK RETURN PERCEPTIONS
3.1 Rank your Investment preferences (1 to 10)
S. No Investments Ranks
a Shares
b Debentures / Bonds
c Stock Futures and Options
d Mutual Funds
e *NSC/PPF/PF
f Fixed Deposits
g Insurance Policies
h Real Estate
i Gold / Silver
j Others
*NSC – National Saving Certificate, PPF – Public Provident Fund, PF – Provident Fund
3.2 Rank your Sectoral preferences for stocks (1 to 10)
S. No Sectoral Stocks Ranks
a IT Sector
b Bank Sector
c *FMCG sector
d *PSE Sector
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e *MNC Sector
f Service Sector
g Energy Sector
h Pharma Sector
i Infrastructure & Capital Goods
Sector
*FMCG – Fast Moving Consumer Goods, PSE – Public Sector Enterprises MNC –
Multinational Company.
3.3 State the level of risk and return associated with the following investments.
Level of risk Level of Return
Very High
High Moderate Low
Very
Low Investments
Very High
High Moderate Low
Very
Low
Shares
Debentures / Bonds
Stock Futures and Options
Mutual Funds
NSC/PPF/PF
Fixed Deposits
Insurance Policies
Real Estate
Gold / Silver
Others
*NSC – National Saving Certificate, PPF – Public Provident Fund, PF – Provident Fund
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Kindly answer the following questions with regard to Equity Shares (Part 4, 5 &6)
PART 4: INVESTMENT OBJECTIVES
4.1 State the level of importance of the following investment objectives
S.
No Investment Objectives
Very
High
High Moderate Low Very
low
a Dividends
b Capital Appreciation
c Quick Gain
d Safety
e Liquidity
f Tax Benefits
g Diversification of Asset
Holding
h Rights / Bonus issues & Stock
splits
i Hedge against Inflation
4.2 State the expected rate of return (ROR) per annum.
Less than 12%
12% - 24%
24% - 36%
36% & above
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PART 5: FACTORS INVOLVED IN INVESTMENT EVALUATION AND
DECISION
5.1 State the level of influence of the following factors in investment evaluation and
decision
S. No
Investment Factors
Level of importance
Very high
High Moderate
Low Very Low
5.1.1 General Information
a. Stock Exchange information
b Risk factors
c Lead managers image
d Credit rating
e Brokers advice/ Analysts forecast/Advertisement impact
5.1.2 Company Management
a Company history
b Promoters background & contribution
c Board of directors
d Company’s present policies
e Companies under the same management & their performance
5.1.3 Details of Present issue
a Authorized and Paid up capital
b Size of present issue
c Objectives of present issue
d Terms of issue
e Minimum & Maximum subscription
f Institutional investments
5.1.4 Project Details
a Cost of the project & Means of financing
b Location /Process/ Infrastructure
c Product strength
d Existing & Future demand
e Future prospects & Profitability
5.1.5 Financial parameters
a EPS/PE Ratio
b Dividend payment trend
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c Book value, Market value per share & Price trends
d Market volume traded
e Bonus/ Rights issues & Stock splits
f Performance of related companies
PART 6: INVESTMENT SATISFACTION
6.1 State the level of satisfaction achieved, in the following investment objectives
S.
No
Investment
objectives
Level of importance
Highly
Satisfied Satisfied
Neutral /
undecided
Dissatisfied Highly
Dissatisfied
a Dividends
b Capital
Appreciation
c Quick Gain
d Safety
e Liquidity
f Tax Benefits
g Diversification
of Asset
holding
h Rights / Bonus
issues & Stock
splits
i Hedge Against
Inflation
6.2 State the derived rate of return
Less than 12% 12% - 24%
24% - 36% 36% & above
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6.3 State the level of satisfaction with respect to the following other aspects of share investment
S.
No
Others
Aspects
Level of importance
Highly
Satisfied Satisfied
Neutral /
undecided Dissatisfied
Highly
Dissatisfied
a
Nation wide
trading
facility
b
Equal access
to all
investors
c
Fairness,
efficiency and
transparency
of security
trading
d Settlement
cycle
e
Prompt
service from
company
Such as
transfers,
subdivision
etc
f
Functioning
of Stock
Exchange
g Functioning
of SEBI
h
Quality of
advice and
services of
brokers
i
Information
availability &
reliability
j Market
regulation
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k
Transparency
& disclosure
norms
l
Share holders
rights &
equitable
treatment
m
Investor
awareness &
education
measures
n
Investor
protection
measures
o
Speedy
redressal of
grievances
p
Functioning
of investor
forum
6.4 State your level of agreeability regarding enhancing or introduction of the
following measures, to increase investor confidence and to attract more
investments in shares.
S.
No Measures
Level of Agreeability
Strongly
agree
Agree Neutral /
undecided
Disagree Strongly
Disagree
a Information related measures
b Scandal control measures
c
Investor awareness and education
Measures
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d Grievance handling and Investor protection measures
e Regulating intermediary and rating measures
f Market regulation measures
g Return related measures
h Government measures
i Transparency in Promoter’s activities
j Rating of equity scripts
k Insurance coverage for stock losses
If any other, Please specify____________________________________________
___________________________________________________________________
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6.5 How much you are affected by the following problems
S.
No Problems Faced
Very
High
High Moderate Low Very
low
a No proper advise by Brokers
b Too many channel giving too
many opinion about the
market
c Difficulty in operating online
trading
d Change of transaction
password frequently
e Unauthorized transaction by
brokers