I. Understanding Securities Markets and Performance

A. Understand the meaning of securities and key function of securities markets participants

B. Know the structure of securities markets and role of its participants

C. Understand the role of securities markets as allocators of capital


II. Securities: Types, Features and Concepts

A. Know the difference between equity and debt securities

B. Understand the features of equity capital

C. Understand the features of debt capital

D. Know the factors that influence the choice between equity and debt capital for issuers

E. List the various aspects of investing in equity

F. Understand the concepts and elements of financial analysis and valuation

G. Know commonly used terms in equity investing

H. Know the risk and return from investing in equity

I. Understand the basic features of debt instrument

J. Know the types and structure of debt instruments

K. Understand concepts and terms relating to debt securities

L. Know the benefits and risks of investing in debt securities

M. List the factors that influence the choice between equity and debt for investors

N. Understand the concepts of hybrid instruments and their features


III. Primary Markets

A. Understand the nature and functions of the primary market

B. Know the difference between various types of public issues

C. List the categories of issuers in the primary markets

D. Know the regulatory framework for primary markets

E. List the types of investors in the primary markets

F. Understand the types of public issues of equity shares

G. Know the pricing process in a public issue of shares

H. Understand the public issue process

I. List the features of a prospectus

J. Understand the process of applying to a public issue

K. Understand the process of listing of public issues

L. Understand the process of rights issues in equity

M. Understand the process and concepts in public issue of debt securities

N. Know the private placement process in equity and debt


IV. Secondary Markets

A. Know the role and functions of the secondary markets

B. Know the market structure and participants in the secondary markets

C. Know the role of brokers and processes for client acquisition

D. Understand the process of trade execution in the secondary market

E. Understand the process of trade settlement

F. Understand the market information available

G. Understand the risk management systems for secondary markets

H. List the rights, obligations and grievance redressal mechanism for investors in secondary markets


V. Mutual Funds

A. Understand the meaning and features of a mutual fund

B. Know the key terms and concepts associated with mutual funds

C. Understand the functioning of a mutual fund and roles of constituents in the mutual fund

D. Know the regulatory framework for mutual funds

E. List the types of open-ended mutual fund products

F. List the types of close-ended mutual fund products

G. Know the processes associated with investing in mutual funds

H. Understand the uses and process of conducting systematic transactions

I. Understand and interpret the information available on mutual funds for investment decision making

J. List the costs and benefits of investing in mutual funds


VI. Derivatives Markets

A. Understand the derivative products

B. Understand the key concepts with regard to derivatives

C. Know the types of derivative products and their features

D. Know the structure of the derivative markets

E. Understand the trading and settlement of derivatives

F. Know the regulatory and risk management process for derivatives

G. Understand the use of derivatives in speculation, hedging and risk management

H. Know the costs, benefits and risks of derivatives

I. Understand the key derivative market indicators


VII. Financial Planning and Securities Markets

A. Know the financial planning framework for investing in securities

B. Understand the steps in financial planning

C. Understand the asset allocation process and diversification

D. Understand the allocation of securities in the financial planning process

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