III.

REPORTS

Annual Reports of RBI (2000 2010)

Annual Reports of SEBI (2000 2011)

Gupta L.C, Indian share ownerA 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

266
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

Infrastructure & Capital Goods

i
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 Mode Very Very Mode Very

High rate Low Investments High rate Low
High Low High 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

270
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

Very High Moderate Low Very

S.
Investment Objectives High low
No

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

Level of importance
S.
Investment Factors Very Moderate Very
No High Low
high 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 Companys 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

Level of importance
Neutral /
S. Investment Highly Highly
No objectives Satisfied undecided Dissatisfied
Satisfied 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
Level of importance
S. Others Neutral /
Highly Highly
No Aspects Satisfied Dissatisfied
Satisfied undecided Dissatisfied

Nation wide
a trading
facility
Equal access
b to all
investors
Fairness,
efficiency and
c transparency
of security
trading
Settlement
d
cycle
Prompt
service from
company
e Such as
transfers,
subdivision
etc
Functioning
f of Stock
Exchange
Functioning
g
of SEBI
Quality of
advice and
h
services of
brokers
Information
i availability &
reliability
Market
j
regulation

274
 Transparency
k & disclosure
norms
Share holders
rights &
l
equitable
treatment
Investor
awareness &
m
education
measures
Investor
n protection
measures
Speedy
o redressal of
grievances
Functioning
p 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.

Level of Agreeability
S. Agree Neutral /
Measures Strongly Strongly
No undecided Disagree
agree Disagree

Information related
a
measures
Scandal control
b
measures
Investor awareness
c and education
Measures

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 Grievance handling
d and Investor
protection measures
Regulating
e intermediary and
rating measures
Market regulation
f
measures
Return related
g
measures
Government
h
measures
Transparency in
i
Promoters activities
Rating of equity
j
scripts
Insurance coverage
k
for stock losses

If any other, Please specify____________________________________________

___________________________________________________________________

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6.5 How much you are affected by the following problems

S. Very High Moderate Low Very

Problems Faced
No High 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

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