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MFD Contents

This document contains a table of contents for a book about mutual funds in India. It outlines 12 chapters that will cover topics like the concept and role of mutual funds, their structure and constituents, legal and regulatory environment, selecting the right funds and investment products, and helping investors with financial planning. The table of contents provides an overview of the sub-sections in each chapter and the page numbers. It also includes several appendices with things like KYC forms, sample documents, and a reading list.

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benzene4a1
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242 views4 pages

MFD Contents

This document contains a table of contents for a book about mutual funds in India. It outlines 12 chapters that will cover topics like the concept and role of mutual funds, their structure and constituents, legal and regulatory environment, selecting the right funds and investment products, and helping investors with financial planning. The table of contents provides an overview of the sub-sections in each chapter and the page numbers. It also includes several appendices with things like KYC forms, sample documents, and a reading list.

Uploaded by

benzene4a1
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 4

Contents

PAGE

Foreword

I-3

Acknowledgement

I-5

About NISM Certifications

I-7

About the Certification Examination for Mutual Fund Distributors

I-9

CHAPTER 1
CONCEPT AND ROLE OF A MUTUAL FUND

1.1
1.2
1.3

Introduction
Types of Funds
Key Developments over the Years

1
8
21

CHAPTER 2
FUND STRUCTURE AND CONSTITUENTS

2.1
2.2
2.3

Legal Structure of Mutual Funds in India


Key Constituents of a Mutual Fund
Other Service Providers

I-11

25
27
32

I-12

Contents
PAGE

CHAPTER 3
LEGAL AND REGULATORY ENVIRONMENT

3.1
3.2
3.3
3.4
3.5
3.6

Role of Regulators in India


Investment Restrictions for Schemes
Investors Rights & Obligations
Can a Mutual Fund Scheme go bust?
Appendix 1: AMFI Code of Ethics
Appendix 2 : AMFIs Code of Conduct for Intermediaries of Mutual
Funds

37
42
44
49
51
57

CHAPTER 4
OFFER DOCUMENT

4.1
4.2
4.3
4.4

Offer Document NFO, SID, SAI


Key Information Memorandum
Appendix 3: Format of Scheme Information Document (SID)
Appendix 4: Key Information Memorandum

63
71
73
93

CHAPTER 5
FUND DISTRIBUTION AND CHANNEL MANAGEMENT PRACTICES

5.1
5.2

Distribution Channels
Channel Management Practices

99
106

CHAPTER 6
ACCOUNTING, VALUATION AND TAXATION

6.1
6.2
6.3

Accounting and Expenses


Valuation
Taxation

113
125
126


ContentsI-13
PAGE

CHAPTER 7
INVESTOR SERVICES

7.1
7.2
7.3
7.4

Mutual Fund Investors


KYC Requirements for Mutual Fund Investors
PAN Requirements and Micro-SIPs
Additional Documentation Requirements applicable for
Institutional Investors
7.5 Demat Account
7.6 Transactions with Mutual Funds
7.7 Transactions through the Stock Exchange
7.8 Investment Plans and Services
7.9 Appendix 5 : KYC Form for Individuals
7.10 Appendix 6 : KYC Form for Non-individuals
7.11 Appendix 7 : KYC Change Form for Individuals

135
137
139
140
141
142
151
152
161
163
166

CHAPTER 8
RETURN, RISK & PERFORMANCE OF FUNDS

8.1
8.2
8.3
8.4
8.5
8.6

Drivers of Returns and Risk in a Scheme


Measures of Returns
Drivers of Risk in a Scheme
Measures of Risk
Benchmarks and Performance
Quantitative Measures of Fund Manager Performance

169
177
183
192
194
198

CHAPTER 9
SCHEME SELECTION

9.1
9.2

How to choose between Scheme Categories?


How to select a Scheme within a Scheme Category?

204
213

I-14

Contents
PAGE

9.3
9.4

Which is the Better Option within a Scheme?


Sources of Data to track Mutual Fund Performance

216
218

CHAPTER 10
SELECTING THE RIGHT INVESTMENT
PRODUCTS FOR INVESTORS

10.1
10.2
10.3
10.4
10.5
10.6

Financial and Physical Assets


Gold Physical or Financial?
Real Estate Physical or Financial?
Using Mutual Funds to Meet Investor Goals
National Pension System (NPS)
Other Financial Products

221
224
225
226
229
230

CHAPTER 11
HELPING INVESTORS WITH FINANCIAL PLANNING

11.1 Introduction to Financial Planning


11.2 Alternate Financial Planning Approaches
11.3 Life Cycle and Wealth Cycle in Financial Planning

233
238
238

CHAPTER 12
RECOMMENDING MODEL PORTFOLIOS
AND FINANCIAL PLANS

12.1 Risk Profiling


12.2 Asset Allocation
12.3 Model Portfolios
List of Abbreviations
Reading List

245
247
248
251
253

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