CERTIFICATE COURSE FOR MBA

Certification Courses in NISM Series V A: Mutul Fund

4027794

Certified Trainer

Mr. Nandan Gulaldavar

Mr. Nandan Gulaldavar is having 10 years lf trading along with 5 years of teaching experience and is a Certified Equity Derivatives & Mutual Fund Training also having an experience in Securities Market Operations & Life and General Insurance

Overview

The course is designed to teach necessary skills and subject that help students to enter into Financial Sector.

Pre-requisite knowledge/Skill

Basic financial knowledge and anyone who have completed there graduation and looking out for career in finance sector

Course objective

The NISM Series V A: Mutual Fund Certification Program

On successful completion of the Mutual Fund Distributors examination, the candidate should:

  • Know the basics of mutual funds, their role and structure, different kinds of mutual fund schemes and their features
  • Understand how mutual funds are distributed in the market-place, how schemes are to be evaluated, and how suitable products and services can be recommended to investors and prospective investors in the market.
  • Get oriented to the legalities, accounting, valuation and taxation aspects underlying mutual funds and their distribution.
  • Get acquainted with financial planning as an approach to investing in mutual funds, as an aid for mutual fund distributors to develop long term relationships with their clients.

It seeks to create a common minimum knowledge benchmark for all persons involved in selling and distributing mutual funds including:

  • Individual Mutual Fund Distributors
  • Employees of organizations engaged in sales and distribution of Mutual Funds
  • Employees of Asset Management Companies specially persons engaged in sales and distribution of Mutual Funds

The certification aims to enhance the quality of sales, distribution and related support services in the mutual fund industry.

Total 30 hours per day  2hrs/session for 15 days.

A test after completion of 30 hours of training.

Certification after the completion of the course and the test by National Institute of Securities Markets

Course outline

CHAPTER 1: CONCEPT AND ROLE OF A MUTUAL FUND

  • Introduction
  • Types of Funds
  • Key Developments over the Years

CHAPTER 2: FUND STRUCTURE AND CONSTITUENTS

  • Legal Structure of Mutual Funds in India
  • Key Constituents of a Mutual Fund
  • Other Service Providers

CHAPTER 3: LEGAL AND REGULATORY ENVIRONMENT

  • Role of Regulators in India
  • Investment Restrictions for Schemes
  • Investors’ Rights & Obligations
  • Can a Mutual Fund Scheme go bust?
  • AMFI Code of Ethics
  • AMFI’s Code of Conduct for
  • Intermediaries of Mutual Funds

CHAPTER 4: OFFER DOCUMENT

  • Offer Document – NFO, SID, SAI
  • Key Information Memorandum
  • Appendix 3: Format of Scheme
  • Information Document (SID)
  • Appendix 4: Statement of Additional Information (SAI)
  • Appendix 5: Key Information Memorandum

CHAPTER 5: FUND DISTRIBUTION AND CHANNEL MANAGEMENT PRACTICES

  • Distribution Channels
  • Channel Management Practices

CHAPTER 6: ACCOUNTING, VALUATION AND TAXATION

  • Accounting and Expenses
  • Valuation
  • Taxation

CHAPTER 7: INVESTOR SERVICES

  • Mutual Fund Investors
  • KYC Requirements for Mutual Fund
  • Investors
  • PAN Exempt Investments in Mutual
  • Funds Additional Requirements
  • applicable for Institutional Investors
  • Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS)
  • Demat Account
  • Transactions with Mutual Funds
  • Transactions through the Stock
  • Exchange
  • Investment Plans and Services
  • Appendix 5: KYC Form for Individuals
  • Appendix 6: KYC Form for Non-Individuals
  • Appendix 7: KYC Details Change Form
  • for Individuals
  • Appendix 8: KYC Details Change Form
  • for Non-Individuals

CHAPTER 8: RETURN, RISK AND PERFORMANCE OF FUNDS

  • Drivers of Returns and Risk in a Scheme
  • Measures of Returns
  • Drivers of Risk in a Scheme
  • Measures of Risk
  • Benchmarks and Performance
  • Quantitative Measures of Fund Manager Performance

CHAPTER 9: SCHEME SELECTION

  • How to choose between Scheme Categories?
  • How to select a Scheme within a Scheme Category?
  • Which is the Better Option within a Scheme?
  • Sources of Data to track Mutual Fund Performance

CHAPTER 10: SELECTING THE RIGHT INVESTMENT PRODUCTS FOR INVESTORS

  • Financial and Physical Assets
  • Gold – Physical or Financial?
  • Real Estate – Physical or Financial?
  • Using Mutual Funds to Meet Investor Goals
  • National Pension System (NPS)
  • Other Financial Products

CHAPTER 11: HELPING INVESTORS WITH FINANCIAL PLANNING

  • Introduction to Financial Planning
  • Alternate Financial Planning Approaches
  • Life Cycle and Wealth Cycle in Financial Planning

CHAPTER 12: RECOMMENDING MODEL PORTFOLIOS AND FINANCIAL PLANS

  • Risk Profiling
  • Asset Allocation
  • Model Portfolios
  • Behavioural Biases in Investment Decision Making

PRACTICALTRAINING

MOCK TEST

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