NISM-Series-V-A (Mutual Fund Distributors Certification Examination)

About Course

Embark on a transformative journey with our NISM Series-V Mutual Fund Distributors Certification Exam Prep Course on StoxEdu.com . Dive deep into the world of mutual funds, mastering the intricacies of distribution, risk management, and regulatory frameworks. Elevate your financial acumen as you explore equity and debt funds, investor services, and industry best practices. This immersive experience includes engaging lessons, expert insights, and rigorous mock tests to ensure your readiness for success. Join us now to unlock the door to a lucrative career in mutual fund distribution. Your future in finance begins here!

Deep understanding of mutual funds and distribution
Mastery of NISM Series-V Certification Exam content
Proficiency in risk analysis and management
Knowledge of legal and regulatory compliance
Skills in effective investment strategies
Insights into industry best practices and ethical guidelines
Readiness through realistic mock exams
Competitive advantage for a successful career in mutual fund distribution

Course Content

INVESTMENT LANDSCAPE
Learning Objectives: After studying this chapter, you should understand about: ➢ Investors and their financial goals ➢ Saving or investment ➢ Different asset classes ➢ Investment risks ➢ Risk measures and management strategies ➢ Behavioral biases in investment decision making ➢ Risk profiling ➢ Understanding asset allocation ➢ Do-it-yourself v/s taking professional help

Investors and their Financial Goals

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Savings or Investments?

00:00
Different Asset Classes

00:00
Investment Risks

00:00
Risk Measures and Management Strategies

00:00
Behavioural Biases in Investment Decision Making

00:00
Risk Profiling

00:00
Understanding Asset Allocation

00:00
Do-it-yourself versus Taking Professional Help

00:00

CONCEPT AND ROLE OF A MUTUAL FUND
Learning Objectives: After studying this chapter, you should know about: ➢ Concept and Role of mutual funds ➢ Classification of mutual funds ➢ Growth of mutual fund industry in India

LEGAL STRUCTURE OF MUTUAL FUNDS IN INDIA
Learning Objectives: After studying this chapter, you should know about: • Legal Structure of mutual funds • Key Constituents of a Mutual Fund • Organization Structure of Asset Management Company • Role and support functions of service providers of mutual funds

LEGAL AND REGULATORY FRAMEWORK

SCHEME RELATED INFORMATION

FUND DISTRIBUTION AND CHANNEL MANAGEMENT PRACTICES

The role and importance of mutual fund distributors

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Different kinds of mutual fund distributors

00:00
Modes of distribution

00:00
Pre-requisites to become Distributor of a Mutual Fund

00:00
Revenue for a mutual fund distributor

00:00
Commission Disclosure mandated by SEBI

00:00
Due Diligence Process by AMCs for Distributors of Mutual Funds

00:00
Difference between distributors and Investment Advisors

00:00
Nomination facilities to Agents/Distributors and Payment of Commission to Nominee

00:00
Change of distributor

00:00

NET ASSET VALUE, TOTAL EXPENSE RATIO AND PRICING OF UNITS

TAXATION

Applicability of taxes in respect of mutual funds

00:00
Capital Gains

00:00
Dividend income (IDCW option)

00:00
Stamp Duty on Mutual Fund Units

00:00
Setting off of Capital Gains and Losses under Income Tax Act

00:00
Securities Transaction Tax

00:00
Tax benefit under Section 80C of the Income Tax Act

00:00
Tax Deducted at Source

00:00
Applicability of GST

00:00

INVESTOR SERVICES

The NFO process

00:00
New Fund Offer Price/On-going Offer Price for subscription

00:00
Investment Plans and Services

00:00
Allotment of Units to the Investor

00:00
Account statements for investments

00:00
Mutual Fund Investors

00:00
Filling the Application Form for Mutual Funds

00:00
Financial Transactions with Mutual Funds

00:00
Cut-off Time and Time Stamping

00:00
KYC Requirements for Mutual Fund Investors

00:00
Systematic Transactions

00:00
Operational aspects of Systematic Transactions

00:00
Non-Financial Transactions in Mutual Funds

00:00
Change in Status of Special Investor Categories

00:00
Investor transactions – turnaround times

00:00

RISK, RETURN AND PERFORMANCE OF FUNDS

MUTUAL FUND SCHEME PERFORMANCE

Benchmarks and Performance

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Price Return Index or Total Return Index

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Basis of Choosing an appropriate performance benchmark

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Benchmarks for equity schemes

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Benchmarks for Debt Schemes

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Benchmarks for Other Schemes

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Quantitative Measures of Fund Manager Performance

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Tracking Error

00:00
Scheme Performance Disclosure

00:00

MUTUAL FUND SCHEME SELECTION

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About Course

What Will You Learn?

Course Content

Investors and their Financial Goals

Savings or Investments?

Different Asset Classes

Investment Risks

Risk Measures and Management Strategies

Behavioural Biases in Investment Decision Making

Risk Profiling

Understanding Asset Allocation

Do-it-yourself versus Taking Professional Help

CONCEPT AND ROLE OF A MUTUAL FUND Learning Objectives: After studying this chapter, you should know about: ➢ Concept and Role of mutual funds ➢ Classification of mutual funds ➢ Growth of mutual fund industry in India

Concept of a Mutual fund

Classification of Mutual Funds

Growth of the mutual fund industry in India

Structure of Mutual Funds in India

Key Constituents of a Mutual Fund

Organization Structure of Asset Management Company

Role and Support function of Service Providers

Role and Function of AMFI

LEGAL AND REGULATORY FRAMEWORK

Role of Regulators in India

Role of Securities and Exchange Board of India

Due Diligence Process by AMCs for Distributors of Mutual Funds

Investor Grievance Redress Mechanism

AMFI Code of Conduct for Intermediaries

SCHEME RELATED INFORMATION

Mandatory Documents

Non-Mandatory Disclosures

FUND DISTRIBUTION AND CHANNEL MANAGEMENT PRACTICES

The role and importance of mutual fund distributors

Different kinds of mutual fund distributors

Modes of distribution

Pre-requisites to become Distributor of a Mutual Fund

Revenue for a mutual fund distributor

Commission Disclosure mandated by SEBI

Due Diligence Process by AMCs for Distributors of Mutual Funds

Difference between distributors and Investment Advisors

Nomination facilities to Agents/Distributors and Payment of Commission to Nominee

Change of distributor

NET ASSET VALUE, TOTAL EXPENSE RATIO AND PRICING OF UNITS

Fair Valuation Principles

Computation of Net Assets of Mutual Fund Scheme and NAV

Dividends & Distributable Reserves

Concept of Entry and Exit Load and its impact on NAV

Key Accounting and Reporting Requirements

NAV, Total expense ratio and pricing of units for the Segregated Portfolio

TAXATION

Applicability of taxes in respect of mutual funds

Capital Gains

Dividend income (IDCW option)

Stamp Duty on Mutual Fund Units

Setting off of Capital Gains and Losses under Income Tax Act

Securities Transaction Tax

Tax benefit under Section 80C of the Income Tax Act

Tax Deducted at Source

Applicability of GST

INVESTOR SERVICES

The NFO process

New Fund Offer Price/On-going Offer Price for subscription

Investment Plans and Services

Allotment of Units to the Investor

Account statements for investments

Mutual Fund Investors

Filling the Application Form for Mutual Funds

Financial Transactions with Mutual Funds

Cut-off Time and Time Stamping

KYC Requirements for Mutual Fund Investors

Systematic Transactions

Operational aspects of Systematic Transactions

Non-Financial Transactions in Mutual Funds

Change in Status of Special Investor Categories

Investor transactions – turnaround times

RISK, RETURN AND PERFORMANCE OF FUNDS

General and Specific Risk Factors

Factors that affect mutual fund performance

Drivers of Returns and Risk in a Scheme

Measures of Returns

SEBI Norms regarding Representation of Returns by Mutual Funds in India

CONCEPT AND ROLE OF A MUTUAL FUND
Learning Objectives: After studying this chapter, you should know about: ➢ Concept and Role of mutual funds ➢ Classification of mutual funds ➢ Growth of mutual fund industry in India