QUESTIONNAIRE
1.
PERSONAL DETAILS:
1.
Your Name: ______________________________________
2.
Age-group:
Below 25 years
26-35 years
36-45 years
Over 45 years
3.
Gender
Male
Female
4.
Education
H.S.C or Below H.S.C.
Graduation
Post-Graduation
Any other
Government Employee
Business
Retired
Professionals
5.
6.
Occupations:
Monthly Income: Below Rs. 10,000
Others
Rs.10, 001 to Rs.20, 000
Rs.20, 001 to Rs.30, 000 over Rs.30, 000
7.
In which company do you have D-mat and Trading Account?
Reliance money
indiainfoline
Angel Broking
Geogit Securities
ICICI direct
HDFC securities
India bulls
Karvy
ICICI-securities.
Sharekhan
Cityonline
Kotak-Securities
Marwadi
SBI-Investment
others.
2.
GENERAL AWARENESS
1.
Which type of Online Trading do you prefer? Intraday
2.
Since how long time has you involved in Online Trading?
3.
Less than 6 months
6 months to 1 year
1 year to 1.5 year
1.5 years to 2 years
Investments
More than 2 years
Your two most preferred Trading Websites:
(A) __________________________ (B) __________________________
4.
Why do you prefer Online Trading to conventional trading? (Give Rank)
Time saving
more convenience
No dependency on others
Real time price awareness More safe
1
5.
6.
Low cost
Others
For which Factor do you prefer Online Trading? (Give Rank)
Better Earning
Safe Investment
Easy to Access
High Growth
Liquidity
Speculation
By which Broker firm you are conducting your transactions?
Reliance money
indiainfoline
Angel Broking
Geogit Securities
ICICI direct
HDFC securities
India bulls
Karvy
ICICI-securities.
Sharekhan
Cityonline
Kotak-Securities
Marwadi
SBI-Investment
Others.
7.
Which sources do you use for being informed about general and legal
issues relevant to the online trading?
1
2
3
4
5
6
7
8
8.
Personal contacts
News from Chambers of Commerce, industry associations, etc.
Legal advisor
Online portal
Newsletters
Websites and Brokerage firms
News papers and magazines, Journals
Others (Please specify)
Criteria for the online trading, which are considered to open an account in a
brokerage house:
Sr. no.
Factors
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
Variety of products offered
Time to open an account
Brokerage charges
Customer services
software
Research reports
Efficiency at peak hours
Customer relationship
Compliance system
Infrastructure
Brand
Trading calls/sms
Effective execution
Regular delivery of contract notes
Market exposure
Recording confirmation
Access to back office
Comprehensive stock trading portal
Employees skill
Helpline services
guidance
Most
Imp.
Imp
Neutral Least
Imp.
Not
imp
9.
Show your Agreement level for the following sentences regarding Knowledge
about online trading.
[SA = Strongly Agree, A = Agree, NANDA=Neither Agree nor disagree, D=
Disagree, SD=Strongly Disagree]
No.
Statements
SA A NA/ D SD
ND
1.
2.
3.
Online Trading has captured more investors
Online Trading has reduced chances of Fraud
Online Trading has made trading process more transparent
4.
Online Trading has Bright future ahead
5.
6.
7.
Online Trading is the Reducing the role Of Broker
Online Trading gives more return on Fraud
While Online Trading Indian Capital Market has become efficient
10.
No.
Knowledge level regarding the awareness about the problems faced by
online traders:
Statements
1.
2.
3.
4.
5.
6.
7.
Technological aspects of Online Trading
Risk of system failure
Professional Management of Broker
Transaction cost of online Trading
Requisite Information for online Trading
Possibilities of frauds
Poor Communication Network
8.
Level of Transparency
Immediate Resolution when problem occurs
at time of Online Trading
Do
not
know
Know
Know
Know
a
Something well
little
Know
Very
well
11.
General awareness regarding online trading: Show your Agreement level for the
following sentences
[SA= Strongly Agree, A= Agree, NA/ND=Neither Agree nor disagree, D= Disagree,
SD=Strongly Disagree]
SR.
No.
1
2
3
4
5
6
7.
8
Sr.
no.
STATEMENTS
NA/
ND
SD
I know the procedure for online trading
I know how to place an order
I know how to cancel an order
I know how to purchase a security in a cash account
I know the options for placing a trade if I
am unable to access my account online
I know that If I trade on margin, my broker can sell my
securities without giving me a margin call
I know that no regulations require
a trade to be executed within a certain time
I know what to do if I have a complaints
3.
LEGAL AWARENESS
1.
Legal knowledge level for the following Acts:
Statements
Indian Contract Act, 1872
Securities Contracts (Regulation) Act, 1956
Securities Contracts (Regulation) Rules, 1957
Securities and Exchange Board of India Act, 1992
SEBI (Stock Brokers & Sub-Brokers) Rules, 1992
SEBI (Stock Brokers & Sub-Brokers) Regulations, 1992
SEBI (Insider Trading) Regulations, 1992
SEBI (Prohibition of Fraudulent And Unfair Trade Practices
Relating to security markets)
Securities Markets Regulations, 1995
10
The Depositories Act, 1996
11
The Companies Act, 1956
SA
Do
not
know
Know Know
a
Somelittle
thing
Know
well
Know
Very
well
2.
Legal awareness about investors right for the following sentences:
Sr.
No.
Statements
To receive the share certificates, on allotment or transfer (if
opted for transaction in physical mode) as the case may be, in
due time.
To receive copies of the Annual Report containing the Balance
Sheet, the Profit & Loss account and the Auditors Report.
To participate and vote in general meetings either personally or
through proxy.
To receive dividends in due time once approved in general
meetings.
To receive corporate benefits like rights, bonus, etc. once
approved.
To apply to Company Law Board (CLB) to call or direct the
Annual General Meeting.
To inspect the minute books of the general meetings and to
receive copies thereof.
To proceed against the company by way of civil or criminal
proceedings.
To apply for the winding up of the company.
To receive the residual proceeds.
To receive offer to subscribe to rights shares in case of further
issues of shares.
To receive offer under takeover or buyback offer under SEBI
Regulations.
2
3
4
5
6
7
8
9
10
11
12
3.
Sr.
No.
1
2
3
4
5
Do
Know Know Know
not
a
Some- well
know little thing
Legal knowledge about investors responsibilities for the following sentences.
Statements
Investors have to be specific.
Investors have to remain
informed.
Investors have to be vigilant.
Terms and conditions you accept
while doing online trading
Regulatory guidelines applicable
to investor for online trading
Do
not
know
Know
a
little
Know
Something
Know
well
Know
Very
well
Know
Very
well
4.
Sr.
No.
1
2
3
4
5
6
7
9
10
11
Given below are types of grievances for which you could approach SEBI:
Show your knowledge level for the following sentences.
Sentences
Refund Order/ Allotment Advise
Non-receipt of dividend.
Non-receipt of share certificates after transfer.
Debentures
Non-receipt of letter of offer for rights.
Collective Investment Schemes
Mutual Funds/ Venture Capital Funds/ Foreign
Venture Capital Investors/ Foreign Institutional
Investors/ Portfolio Managers, Custodians.
Brokers/ Securities Lending Intermediaries/
Merchant Bankers/ Registrars and Transfer Agents/
Debenture Trustees/ Bankers to Issue/
Underwriters/ Credit Rating Agencies/ Depository
Participants
Securities Exchanges/ Clearing and Settlement
Organizations/ Depositories.
Derivative Trading
Corporate Governance/ Corporate Restructuring/
Substantial Acquisition and Takeovers/ Buyback /
Delisting / Compliance With Listing Conditions.
Do
Know Know Know Know
not
a
Some- well Very
know little thing
well
