I. Concept and Role of a Mutual Fund

  1. Concept of a mutual fund
  2. Advantages and limitations of mutual fund
  3. List different types of funds

II. Fund Structure and Constituents  

  1. Legal structure of mutual funds in India
  2. Role of Trustee, Sponsor and AMC
  3. Other Service Providers and their functions

III. Legal and Regulatory Environment 

  1. Role of the regulators in Mutual Fund Industry
  2. Know the salient features of the AMFI Code of Ethics and AMFI Guidelines & Norms for Intermediaries (AGNI)
  3. Know the Investor rights and obligations

IV. Offer Document

  1. Know the process of New Fund Offer (NFO)
  2. Know the Investment Objective, Investment Policy and Investment Strategy
  3. Know the regulatory aspects of an offer document
  4. Know the salient features of Scheme Information Document (SID), Statement of Additional Information (SAI) and Key Information Memorandum (KIM)

V. Fund Distribution and Sales Practices

  1. Know the various distribution channels for mutual funds
  2. Know the pre-requisites for becoming a mutual fund distributor
  3. Know the elements covered in an agreement between a distributor and a mutual fund
  4. Know the sales practices and commission structure

VI. Mutual Fund Products

  1. Product features of diversified equity schemes, fixed maturity plans and index schemes
  2. Features of SEBI regulations on Risk disclosures and Return presentations
  3. Fact sheet and their uses

VII. Investor Services

  1. Know the process of purchase transactions
  2. Know the processes of redemptions by investors
  3. Know the processes relating to systematic investment plans
  4. Know the processing relating to systematic withdrawals and transfers
  5. Know the other investor services and facilities offered by mutual funds.
  6. Know the contents and periodicity of Statement of account to the investor
  7. Explain the process for Nomination and Pledge
  8. Know the service standards mandated for a mutual fund towards its investors

VIII. Selecting the Right Investment products for Investors  

  1. Analyzing needs and profile of the client
  2. Identifying the ideal Mutual Fund product for investors

IX. Helping Investors with Financial Planning

  1. Need for Financial Planning
  2. Role of different asset classes and allocation
  3. Basics steps of financial planning

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