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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

264

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

266

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