I. Understanding Securities Markets and Performance

  1. Know the working of equity markets
  2. Understand key equity market indicators
  3. Know the risk and return from equity investing
  4. Learn about the various tools and options in equity investing – direct, IPOs, Mutual funds and PMS
  5. Know the working of debt markets
  6. Understand debt market analytics and indicators
  7. Understand risk and return in debt investing
  8. Learn about the various debt products – saving schemes, bonds, deposits and debt mutual funds.
  9. Understand derivative markets, products and strategies
  10. Understand how derivatives can be used to hedge
  11. Know the interpretation of derivative indicators
  12. Understand the structure of Foreign Exchange Market; difference between spot and forward exchange rates; settlement periods; effect of interest rates
  13. Know calculation of forward exchange rates using: premiums and discounts; interest rate parity

 II. Knowing Operational Aspects of financial transactions

  1. Know Investor types and the acquisition process
  2. Learn about PAN, KYC and other processes
  3. Know about the processes of Dematerialisation and Rematerialisation
  4. Learn about the PoA and other agreements
  5. Understand the processes involved for account opening of NR investors
  6. Consolidating, reorganising and folio-keeping
  7. Understand the process flow in Special situations: minor turns major, NRI to RI and RI to NRI
  8. Know the Operational aspects related to joint accounts, lien, nomination, transmission
  9. Learn about the documentation required for financial advice

 III. Personal Financial Planning

  1. Learn about the computation and interpretation of personal finance ratios
  2. Understand cash flow analysis and determine surplus
  3. Understand Budgetary mechanism for households
  4. Understand contingency planning
  5. Understand about the estimation of financial goals

 IV. Comprehensive Financial Planning 

  1. Understanding Leverage and debt counselling
  2. Understand Interpretation of liquidity, investment and long-term needs
  3. Learn about Prioritising and Financing the financial goals
  4. Learn about Risk profiling and processes in financial planning
  5. Know about evaluating insurance needs for life and general insurance
  6. Know about evaluating choices in retirement planning
  7. Understand about the preparation and interpretation of comprehensive financial planning solutions for the household

V. Product analysis and selection

  1. Understanding risk, return and portfolio construction principles
  2. Learn about Return targets, risk profile and optimisation
  3. Understand the impact of market cycles on asset allocation and product selection
  4. Know about evaluation and selection of equity funds, debt funds and other funds
  5. Learn about portfolio performance and  evaluate the investment alternatives
  6. Understand the evaluation of mutual fund portfolios for revisions and rebalancing
  7. Understand and Interpret the impact of elements of macroeconomic policies on asset allocation
  8. Understand behavioural biases in decision making and portfolio management

 VI. Regulatory and Compliance Aspects 

  1. Understand Disclosure requirements
  2. Understand compliances related to  transactions
  3. Learn about document costing, taxation and procedures
  4. Understand Regulation relating to insurance, pension and investment products
  5. Understand Investor queries, grievance redressal, and service elements

 VII. Case studies in Comprehensive Financial Advice  

  1. Understand practical aspects of providing financial advice through case studies

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