NISM Certification Online Preparation Investment Advisor Level I

Introduction

NISM Certification examination is conducted by National Institute of Securities Market for various securities market participants and intermediaries. SEBI has made it mandatory for financial intermediaries like brokerages and financial firms and their employees to clear the certification exams like the NISM-Series-X-A: Investment Adviser (Level 1 & 2) Certification Examination.

This course is designed to prepare students to clear the Investment Adviser Level 1 certification exam.

It is also suitable for anyone including under graduate / post graduate students and working professionals who would like to develop their knowledge in the area of financial markets and investment advisory business, either to expand their professional careers or to better manage their own finances. The course has been designed in such a way that any person without prior knowledge can easily grasp various financial concepts and develop an intuitive understanding of various issues in the financial advisory business. 

Course Package:

• 36 Videos
• 12 Presentations

Target Audience:

Candidates for NISM certification examination conducted by National Institute of Securities Market

Expected Outcome:

• Complete Preparation for the NISM certification examination
• Develop comprehensive understanding of financial markets and financial advisory business

List of Topics:

1. Introduction to Financial Markets

1.1 Indian Economy

1.2 Indian Financial Markets

1.3 Structure of Financial Markets in India

1.4 Role of participants in the Financial Markets

1.5 Regulators of Financial Markets

2. Securities Market Segments

2.1 Primary Markets

2.2 Secondary Markets

2.3 Corporate Actions

3. Mutual Funds

3.1 Features of Mutual Funds

3.2 Concepts & Terms Related to Mutual Funds

3.3 Regulatory Framework of Mutual Funds

3.4 Mutual Fund Products

3.5 Taxation of Mutual Fund Products

3.6 Mutual Fund Investment Options

3.7 Processes associated with Mutual Funds

3.8 Systematic Transactions

4. Investment Products

4.1 Small Savings Instruments

4.2 Fixed Income Instruments

4.3 Alternative Investments

4.4 Direct Equity

5. Managing Investment Risk

5.1 Risk

5.2 Common Types of Risk

5.3 Measuring Risk

6. Measuring Investment Returns

6.1 Understanding Return

6.2 Return Concepts

6.3 Concept of Compounding

6.4 Real Rate of Return

6.5 Tax adjusted Return

6.6 Risk adjusted Return

7. Concept of Financial Planning

7.1 Financial Planning

7.2 Need for Financial Advisory Services

7.3 Scope for Financial Planning Services

7.4 Financial Advisory and Execution

7.5 Assets, Liabilities & Networth

7.6 Preparation of Budget

7.7 Financial Planning Delivery Process

8. Asset Allocation and Investment Strategies

8.1 Asset Classes

8.2 Portfolio Construction

8.3 Practical Asset Allocation and Rebalancing Strategies

8.4 Portfolio Monitoring and Re-balancing

9 Insurance Planning

9.1 Need for Insurance

9.2 Requirements of an insurable risk

9.3 Role of insurance in personal finance

9.4 Steps in Insurance Planning

9.5 Insurance Products

9.6 Life Insurance Products

9.7 Non-life Insurance

9.8 Life Insurance Need Analysis

10 Retirement Planning

10.1 Introduction to retirement planning process

10.2 Estimating the retirement corpus

10.3 Determining the retirement corpus

10.4 Retirement Products

11 Tax and Estate Planning

11.1 Understanding Income Tax Principles

11.2 Tax aspects of investment products

11.3 Wealth Tax Act

11.4 Estate Planning

12 Regulatory Environment and Ethical Issues

12.1 Regulation for Investment Advisors

12.2 Regulatory System and Environment

12.3 Role of Regulators

12.4 Role of Self-Regulatory Organisations

12.5 Prevention of Money Laundering Act

12.6 Code of Conduct and Ethics

12.7 Ethical Issues in providing financial advice

12.8 Investor Complaint Redressal System