Bachelors in Capital Markets 1 Syllabus Mumbai University by munotes
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1
AC 1 1/5/2017
Item No.
UNIVERSITY OF MUMBAI
Syllabus for Approval
Date: 11/5/2017 Signature:
Dr. Anil Karnik, I/C. Director, Garware Institute of Career Education & Development
Heading Particulars
1 Title of the Course
Bachelors in Capital Markets
2 Eligibility for Admission 1) 12th Standard and above
2) Admissions on the basis of Written Test & Interview
3 Passing Marks 50% PASSING MARKS
4 Ordinances / Regulations
( if any)
5 No. of Years / Semesters 3 YEARS / 6 SEMESTERS
6 Level UNDER GRADUATE
7 Pattern Semester
8 Status New
9 To be implemented from
Academic Year From Academic Year 2017 -18
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2
Bachelor in Capital Market – Duration 3 years
Subject
code Core Subject Assessment Pattern Teaching Hours
Topics Intern
al
Marks
-60 Exter
nal
Mark
s -40 Total
Marks
(CA) -
100 Theor
y
Hours Practi
cal
Hours Total
Hours Total
Credits
S
e
m
e
s
t
e
r
-
0
1 Elective Courses (EC)
1.1 Financial Accounting 60 40 100 45 - 45 3
1.2 Business Law 60 40 100 45 - 45 3
1.3 Introduction to
Financial Market 60 40 100 45 - 45 3
Ability Enhancement
Courses (AEC)
Ability Enhancement
Compulsory (AECC)
1.4 Business
Communication - I 60 40 100 45 - 45 3
Skill Enhancement
Compulsory
(SEC)
1.5 Banking Operation &
Product I 60 40 100 45 - 45 3
Core Courses (CC)
1.6 Marketing & sales of
Financial Product s 60 45 100 30 - 30 2
1.7 Business Economics - I 60 45 100 45 - 45 3
Total 700 300 20
Elective Courses (EC)
S
e
m
e
s
t
e
r
-
0
2 2.8 Mutual Fund s 60 40 100 45 - 45 3
2.9 Corporate Finance 60 40 100 45 - 45 3
2.10 Ethical and Professional
Standards 60 40 100 45 - 45 3
Ability Enhancement
Courses (AEC)
Ability Enhancement
Compulsory (AECC)
2.11 Business
Communication - II 60 40 100 45 - 45 3
Skill Enhancement
Compulsory (SEC)
2.12 Banking Operation &
Product II 60 40 100 30 - 30 2
Core Courses (CC)
2.13 Business Environment 60 40 100 45 - 45 3
2.14 Principles of
management 60 40 100 45 - 45 3
Total 700 300 20
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3
Subject
code Core Subject Assessment Pattern Teaching Hours
Topics Intern
al
Marks
-60 Exter
nal
Mark
s -40 Total
Mark
s(CA) -
100 Theor
y
Hours Practi
cal
Hours Total
Hours Total
Credits
S
e
m
e
st
e
r
-
0
3 Elective Courses
(EC)
3.15 Securities Law 60 40 100 45 - 45 3
3.16 Derivatives I 60 40 100 45 - 45 3
Ability
Enhancement
Courses (AEC)
3.17 Information
Technology in
Business
Management -I 60 40 100 45 - 45 3
Core Courses (CC)
3.18 Mergers &
Acquisition s 60 40 100 30 - 30 2
3.19 Business Statistics 60 40 100 45 - 45 3
3.20 Accounting for
Managerial
Decisions 60 40 100 45 - 45 3
3.21 Investment
Banking 60 40 100 45 - 45 3
Total 700 300 20
S
E
m
e
s
t
e
r
-
0
4 Elective Courses
(EC)
4.22 Technical Analysis 60 40 100 45 - 45 3
4.23 Fixed Income
Securities 60 40 100 45 - 45 3
Ability
Enhancement
Courses (AEC)
4.24 Information
Technology in
Business
Management -II 60 40 100 45 - 45 3
Core Courses
(CC)
4.25 Business
Economics - II 60 40 100 45 - 45 3
4.26 Business Research
Methods 60 40 100 45 - 45 3
4.27 Financial
Spreadsheet 60 40 100 30 - 30 2
4.28 Derivatives II 60 40 100 45 - 45 3
Total 700 300 20
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4
Subject
code Core Subject Assessment Pattern Teaching Hours
Topics Intern
al
Marks
-60 Exter
nal
Marks
-40 Total
Mark
s(CA)
-100 Theor
y
Hours Practi
cal
Hours Total
Hours Total
Credits
S
e
m
e
s
t
e
r
-
0
5 Elective Courses
(EC)
5.29 Foreign Exchange 60 40 100 45 - 45 3
5.30 Financial Planning 60 40 100 45 - 45 3
5.31 Project Finance 60 40 100 45 - 45 3
Core Courses (CC)
5.32 Financial Modeling 60 40 100 30 - 30 2
5.33 Strategic
Management 60 40 100 45 - 45 3
5.34 International
Business 60 40 100 45 - 45 3
Summer
Internship
5.35 Summer Internship 60 40 100 45 - 45 3
Total 700 300 20
S
e
m
e
s
t
e
r
-
0
6 Elective Courses
(EC)
6.36 Financial Risk
Management 60 40 100 45 - 45 3
6.37 Portfolio
Management 60 40 100 45 - 45 3
6.38 Taxation 60 40 100 45 - 45 3
Core Courses
(CC)
6.39 Financial
Technology 60 40 100 45 - 45 3
6.40 Entrepreneurship
Management 60 40 100 45 - 45 3
6.41 Islamic Banking &
Finance 60 40 100 45 - 45 3
Project work
6.42 Project work 60 40 100 45 - 45 3
Total 700 315 21
Final Total 4200 1815 121
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5
Paper
No. Subject Total
Hours Session of
3 Hrs.
Each
SEMESTER 1
Elective Courses (EC)
1.1 Financial Accounting
Unit 1
Introduction to Accounting · Concept and necessity of
Accounting · An Overview of Income Statement and
Balance Sheet.
Unit 2
Introduction and Meaning of GAAP · Concepts of
Accounting · Impact of Accounting · Concepts on
Income Statement and Balance Sheet.
Unit 3
Accounting Mechanics · Process leading to preparation
of Trial Balance and Financial Statements
Unit 4
Preparation of Financial Statements with Adjustment
Entries.
Unit 5
Revenue Recognition and Measurement · Capital and
Revenue Items · Treatment of R & D Expenses ·
Preproduction Cost · Deferred Revenue Expenditure
etc.
Unit 6
Fixed Assets and Depreciation Accounting · Evaluation
and Accounting of Inventory.
Unit 7
Prepa ration and Complete Understanding of Corporate
Financial Statements · ‘T’ Form and Vertical Form of
Financial Statements.
Unit 8
Important Accounting Standards.
Corporate Financial Reporting – Analysis of
Interpretation thereof with reference to Ratio
Ana lysis. Fund Flow, Cash Flow.
Corporate Accounting. Accounting of Joint Stock
Companies: Overview of Share Capital and
Debentures, Accounting for Issue and forfeiture
of Shares, Issue of Bonus Share. Issue of
Debentures, 45 15
Page 6
6
Unit 9
Financial Statements of Companies: Income Statement
and Balance Sheet in Schedule VI. Provisions of the
Companies Act: Affecting preparation of Financial
Statements, Creative Accounting, Annual Report,
Presentation and analysis of Audit reports and
Directors report. (Students sho uld be exposed to
reading of Annual Reports of Companies both detailed
and summarized version).
Unit 10
Inflation Accounting & Ethical Issue in Accounting
Unit 11
Case Studies and Presentations
1.2 Business Law
Unit 1
Contract Act, 1872 & Sale of Goods Act, 1930
Contract Act, 1872: Essential elements of
Contract; Agreement and Contract – Capacity to
Contract, free consent, consideration, lawful
objects/ consideration, Breach of contract.
Remedies for breach of Contract.
Sale of Goods Act,1930: Scope of Act, Sale and
Agreement to sell, essential of a valid Sale Contract
– Conditions and warranties – Implied Condition
and warranties, Rights of an unpaid seller.
Unit 2
Negotiable Instrument Act, 1981 & Consumer
Protection Act, 1986
Negotiable Instrument Act, 1981:
Introduction of Negotiable Instruments –
Characteristics of negotiable instruments,
Promissory note, Bills of exchange, Cheque,
Dishonour of Cheque.
Consumer Protection Act, 1986: Objects of
Consumer Protection - Introductio n of Consumers,
who is consumer? Meaning of the words “Goods
and services” – Meaning of the words “Defects and
Deficiencies of goods and services” Consumer
disputes and Complaints.
Unit 3
Company Law
What is company? – Incorporation of company –
MOA, AOA, Prospectus, Meetings, Meaning of
transfer and transmission of shares. 45 15
Page 7
7
Unit 4
Intellectual Property Rights (IPR)
IPR definition/ objectives
Patent definition. What is patentable? What is
not patentable? Invention and its Attributes,
Inventors and Applications
Trademarks, definition, types of trademarks,
infringement and passing off.
Copy right definition and subject in which copy
right exists, Originality, Meaning and Content,
Authors and Owners, Rights and Restrictions.
Geographical indi cations (only short notes)
1.3 Introduction to Financial Market
Unit 1
Introduction to Financial Markets
Unit 2
Financial Instruments and Participants
Unit 3
Alternative Investment Schemes and other Investment
Products
Unit 4
Regulators and Regulations
Unit 5
Public Issues and Process
Unit 6
Index
Unit 7
Demat and BOLT
Unit 8
Trading, Clearing and Settlement
Unit 9
Investor Services 45 15
Ability Enhancement Courses (AEC)
Ability Enhancement Compulsory (AECC)
1.4 Business Communication – I
Unit 1
Understanding communications in domestic &
international business situations. Cultural Context of
Communications. Customs and Practices. 45 15
Page 8
8
Unit 2
Barriers to effective communication. Steps to
structuring communication well. Powerful techniques
to influence people. Importance of 1. Clear Objectives
to Communication. 2. Analysis of Receivers Thoughts &
Feelings. Structuring Communication in a. Opening b.
Body c. Closing. Importance of verbal & non -verbal
communication.
Unit 3
Writing effective emails. Emails to juniors. Emails to
peers. Emails to Seniors. Emails to Customers for
Developing Sales. Emails to Customers for Service
Issues.
Unit 4
Influencing & Handling Conflict & Differences of
Opinion. Understanding Submis siveness, aggressive &
assertive communication.
Unit 5
Writing effective reports & analysis. Structuring the
Reports. Executive Summary. Flow. Methodology.
Research Done. Key Findings. Your Analysis.
Conclusions & Recommendations.
Unit 6
Making an effec tive oral presentation. Preparing
Objectives. Researching Audience needs & wants.
Communicating Key Points of the message. Handling
Questions & Objections from the Receiver. Closing with
Action planning.
Unit 7
Making an effective presentation with PowerP oint
slides / Interaction / Videos / audios.
Skill Enhancement Compulsory
(SEC)
1.5 Banking Operation & Product I
Unit 1
An Introduction to Banking
Unit 2
Introduction to Commercial Banking
Unit 3
Basic Banking Concepts
Unit 4
Types of Customers 45 15
Page 9
9
Unit 5
Bank Customer Relationships
Unit 6
KYC
Unit 7
Deposit Products and Services
Unit 8
Principles of Lending
Unit 9
Retail Lending Products
Unit 1 0
Corporate Lending Products
Core Courses (CC)
1.6 Marketing & sales of Financial Products
Unit 1
Introduction to Marketing
Unit 2
Analysing the Macro Environment
Unit 3
Analysing the Micro Environment
Unit 4
Segmentation
Unit 5
Targeting
Unit 6
Positioning I
Unit 7
Positioning II
Unit 8
Developing the Marketing Mix
Unit 9
Introduction to Services Marketing
Unit 10
Communicating the Marketing Mix 30 10
Page 10
10
1.7 Business Economics – I
Unit 1
Introduction
Scope and Importance of Business
Economics - basic tools - Opportunity Cost
principle - Incremental and Marginal Concepts.
Basic economic relations - functional relations:
equations - Total, Average and Marginal
relations - use of Marginal analysis in decision
making, The basics of market demand, mark et
supply and equilibrium price - shifts in the
demand and supply curves and equilibrium
Unit 2
Demand Analysis
Demand Function - nature of demand curve
under different markets Meaning, significance,
types and measurement of elasticity of demand
(Price, income cross and promotional) -
relationship between elasticity of demand and
revenue concepts
Demand estimation and forecasting: Meaning
and significance - methods of demand
estimation: survey and statistical methods
(numerical illustrations on trend analysis and
simple linear regression)
Unit 3
Supply and Production Decisions and Cost of
Production
Production function: short run analysis with
Law of Variable Proportions - Production
function with two variable inputs - isoquants,
ridge lines and least cost combination of inputs -
Long run production function and Laws of
Returns to Scale - expansion path - Economies
and dise conomies of Scale.
Cost concepts: Accounting cost and economic
cost, implicit and explicit cost, fixed and variable
cost - total, average and marginal cost - Cost
Output Relationship in the Short Run and Long
Run (hypothetical numerical problems to be
disc ussed), LAC and Learning curve - Break
even analysis (with business applications)
Unit 4
Market structure: Perfect competition and
Monopoly and Pricing and Output Decisions under 45 15
Page 11
11
Imperfect Competition
Short run and long run equilibrium of a competitive
firm and of industry - monopoly - short run and long -
run equilibrium of a firm under Monopoly
Monopolistic competition: Equilibrium of a
firm under monopolistic competition, debate
over role of advertising (topics to be taught
using case studies from real life examples)
Oligopolistic markets: key attributes of
oligopoly - Collusive and non collusive oligopoly
market - Price rigidity - Cartels and price
leadership models (with practical examples)
Unit 5
Pricing Practices
Cost oriented pricing methods: cost – plus (full cost)
pricing, marginal cost pricing, Mark up pricing,
discriminating pricing, multiple – product pricing -
transfer pricing
(case studies on how pricing methods are used in
business world)
SEMESTER 2
2.8 Mutual Funds
Unit 1
Introduction to Mutual Fund
Unit 2
Classification of Mutual Funds
Unit 3
Funds Offer
Unit 4
Funds Expenses
Unit 5
Mutual Fund Investment 45 15
2.9 Corporate Finance
Unit 1
Introduction to Corporate Finance
Unit 2
Time Value of money
Unit 3
Capital Budgeting
Unit 4
Capital Structure 45 15
Page 12
12
Unit 5
Weighted Cost of Capital
Unit 6
Leverage
Unit 7
Corporate Governance
Unit 8
Working Capital I
Unit 9
Working Capital II
Unit 10
Dividend Theory
2.10 Ethical and Professional Standards
Unit 1
Introduction to Ethics & Professional Standards - ES 1
and 2
Unit 2
Ethics & Professional Standards - S3 to S7
Unit 3
Ethics & Professional Standards - S8 to S12
Unit 4
Ethics & Professional Standards - S13 to S16
Unit 5
Ethics & Professional Standards - S17 to S21 45 15
Ability Enhancement Courses (AEC)
Ability Enhancement Compulsory (AECC)
2.11 Business Communication – II
Unit 1
Presentation Skills
Presentations: (to be tested in tutorials only) 4
Principles of Effective Presentation
Effective use of OHP
Effective use of Transparencies
How to make a Power -Point Presentation
Unit 2
Group Communication
Interviews: Group Discussion Preparing for an
Interview, Types of Interviews – Selection, 45 15
Page 13
13
Appraisal, Grievance, Exit
Meetings: Need and Importance of Meetings,
Conduct of Meeting and Group Dynamics Role of
the Chairperson, Role of the Participants,
Drafting of Notice, Agenda and Resolutions
Conference: Meaning and Importance of
Conference Organ izing a Conference Modern
Methods: Video and Tele – Conferencing
Public Relations: Meaning, Functions of PR
Department, External and Internal Measures of
PR
Unit 3
Business Correspondence
Trade Letters: Order, Credit and Status
Enquiry, Collection (just a brief introduction to
be given)
Only following to be taught in detail: -
Letters of Inquiry, Letters of Complaints, Claims,
Adjustments Sales Letters, promotional leaflets
and fliers Consumer Grievance Letters, Letters
under Right to Information (RTI) Act
[Teachers must provide the students with theoretical
constructs wherever necessary in order to create
awareness. However, students should not be tested on
the t heory.]
Unit 4
Language and Writing Skills
Reports: Parts, Types, Feasibility Reports,
Investigative Reports
Summarization: Identification of main and
supporting/sub points Presenting these in a
cohesive manner
Skill Enhancement Compulsory (SEC)
2.12 Banking Operation & Product II
Unit 1
Introduction to Banking
Unit 2
Types & Functions of Banks
Unit 3
Functions of Front, Middle and Back office
Unit 4
Types of Bank Accounts
30 10
Page 14
14
Unit 5
Know Your Customer
Unit 6
Account Opening Policy & Procedure
Unit 7
Principles of Lending
Unit 8
Liability Products
Unit 9
Ancillary Services
Unit 10
Asset Products
Unit 11
Secured Loan Products
Unit 12
Credit Rating Agency
Core Courses (CC)
2.13 Business Environment
Unit 1
Introduction to Business Environment
Business: Meaning, Definition, Nature & Scope,
Types of Business Organizations
Business Environment : Meaning, Characteristics,
Scope and Significance, Components of Business
Environment
Micro and Macro Environment: Definition,
Differentiation, Analysis of Business Environment,
SWOT Analysis.
Introduction to Micro -Environment :
Internal Environment: Value system, Mission,
Objectives, Organizational Structure,
Organizational Resources, Company Image,
Brand Equity
Exter nal Environment: Firm, customers,
suppliers, distributors, Competitors, Society
Introduction to Macro Components :
Demographic, Natural, Political, Social, Cultural,
Economic, Technological, International and Legal)
45 15
Page 15
15
Unit 2
Political and Legal environment
Political Institutions: Legislature, Executive,
Judiciary, Role of government in Business, Legal
framework in India.
Economic environment: economic system and
economic policies. Concept of Capitalism, Socialism
and Mixed Economy
Impact of business on Privat e sector, Public sector
and Joint sector
Sun-rise sectors of India Economy. Challenges of
Indian economy.
Unit 3
Social and Cultural Environment, Technological
environment and Competitive Environment
Social and Cultural Environment: Nature, Impact
of foreign culture on Business, Traditional Values
and its Impact, Social Audit - Meaning and
Importance of Corporate Governance and Social
Responsibility of Business
Technological environment: Features, impact of
technology on Business
Com petitive Environment: Meaning, Michael
Porter’s Five Forces Analysis, Competitive Strategies
Unit 4
International Environment
International Environment –
GATT/ WTO: Objective and Evolution of GATT,
Uruguay round, GATT v/s WTO, Functions of
WTO, Pros and Cons of WTO.
Globalization: Meaning, Nature and stages of
Globalization, features of Globalization, Foreign
Market entry strategies, LPG model.
MNCs: Definition, meaning, merits, demerits,
MNCs in India
FDI: Meaning, FDI concepts and functions, need
for F DI in developing countries, Factors
influencing FDI, FDI operations in India,
Challenges faced by International Business and
Investment Opportunities for Indian Industry.
Page 16
16
2.14 Principles of Management
Unit 1
Nature of Management
Management: Concept, Significance, Role & Skills,
Levels of Management, Concepts of PODSCORB,
Managerial Grid.
Evolution of Management thoughts, Contribution of
F.W Taylor, Henri Fayol and Contingency Approach.
Unit 2
Planning and Decision Making
Planning: Meaning, Importance, Elements, Process,
Limitations and MBO.
Decision Making : Meaning, Importance, Process,
Techniques of Decision Making.
Unit 3
Organizing
Organizing : Concepts, Structure (Formal &
Informal, Line & Staff and Matrix), Meaning,
Advantages and Limitations
Departmentation : Meaning, Basis and
Significance
Span of Control: Meaning, Graicunas Theory,
Factors affecting span of Control Centralization Vs
Decentralization
Delegation : Authority & Responsibilit y
relationship
Unit 4
Directing, Leadership, Co -ordination and
Controlling
Directing : Meaning and Process
Leadership : Meaning, Styles and Qualities of Good
Leader
Co-ordination as an Essence of Management
Controlling : Meaning, Process and Techniques
Recent Trends : Green Management & CSR 45 15
SEMESTER 3
Elective Courses (EC)
Page 17
17
3.15 Securities Law
Unit 1
Introduction to Indian Capital Markets
Unit 2
SEBI Act 1992
Unit 3
Banking Securities Contract (Regulations) Act 1956
Unit 4
Companies Act 2013 I
Unit 5
Companies Act 2013 II
Unit 6
Companies Act 2013 III
Unit 7
Company Formation
Unit 8
Corporate Governance I
Unit 9
Corporate Governance II
Unit 1 0
Other Regulations 45 15
3.16 Derivatives I
Unit 1
Introduction to Derivatives
Unit 2
Derivative Products
Unit 3
Basic of Options
Unit 4
Basic of Futures
Unit 5
Types of Margins
Unit 6
Pricing of Futures
Page 18
18
Unit 7
Options
Unit 8
Option Strategies
Unit 9
Option Greeks
Unit 1 0
Futures and Option Strategies
Ability Enhancement Courses (AEC)
3.17 Information Technology in Business Management –
I
Unit 1
Advanced Spreadsheets.
A) Multiple spreadsheets
B) Functions
C) Data Analysis
Unit 2
Web Designing Using HTML 45 15
Core Courses (CC)
3.18 Mergers & Acquisitions
Unit 1
Introduction To Merger And Acquisition
Unit 2
Motives Behind Merger & Acquisition And Process
Unit 3
Defence Mechanisms
Unit 4
Valuation
Unit 5
Funding Acquisitions
Unit 6
Payment Terms
Unit 7
Legal Consideration
Unit 8
Financial And Tax Considerations
Unit 9
Accounting Of Merger And Acquisition 30 10
Page 19
19
Unit 10
Corporate And Financial Restructuring
3.19 Business Statistics
Unit 1
Basic Statistical Concepts · Summarisation of Data ·
Frequency Distribution · Measures of Central Tendency
· Measures of Dispersion · Relative Dispersion,
Skewness
Unit 2
Elementary Probability Theory · Relative Frequency
Approach · Axiomatic Approach · Subjective
Probability · Marginal & Conditional Probability ·
Independence/Dependence of Events · Bayes' Theorem
· Chebyseheff's Lemma
Unit 3
Elementary Statistical Distributions · Binomial,
Poisson, Hyper geometric · Negative Exponential,
Normal, Unifor m
Unit 4
Sampling distributions · For Mean, Proportion,
Variance · From Random Samples · Standard Normal
(3); Student's; Chi -Square · And Variance ratio (F)
Distribution
Unit 5
Statistical Estimation · Point & Interval estimation ·
Confidence Interval for Mean, Proportion & Variance
Unit 6
Test of Hypothesis · Tests for specified values of Mean,
· Proportion & Standard Deviation · Testing equality of
two Means, · Proportion & Standard Deviation · Test of
goodness - of fit
Unit 7
Simple Correlation & R egression/Multiple Correlation
& Regression · Spearman's rank Correlation
Unit 8
Analysis of Variance · One -way & Two -way
Classification (for Equal Class
Unit 9
Elements of Integration & Differentiation
45 15
Page 20
20
Unit 1 0
Elements of Determinants
Unit 1 1
Elements of Matrix algebra
3.20 Accounting for Managerial Decisions
Unit 1
Objective of Financial Management Financial
Performance Appraisal using Ratio Analysis, Funds
Flow Analysis & Cash Flow Analysis
Unit 2
Sources of Finance - Short Term/Long Term, Domestic
/ Foreign, Equity/Borrowings/Mixed etc. Cost of
Capital & Capital - Structure Planning, Capital
Budgeting & Investment Decision Analysis (using Time
Value
Unit 3
Working Capital Management - Estimation & Financing,
Inventory Management, Receivable Management, Cash
Management Ø Divided Policy / Bonus - Theory &
Practice
Unit 4
Investment (Project) identification, feasibility analysis
with sensitivities, constraints and long term cash flow
projection Fina ncing Options - structuring & evaluation
off-shore/ onshore Instruments, multiple option bonds,
risk analysis, financial engineering, leasing, hire
purchase, foreign direct investment, private placement,
issue of convertible bonds etc.
Unit 5
Financial B enchmarking -- concept of shareholder
value maximization, interest rate structuring, bond
valuations Banking - consortium banking for working
capital management, credit appraisal by banks,
periodic reporting, enhancement of credit limits, bank
guarantees, trade finance, receivable financing,
documentary credit, routing of documents through
banks, correspondent banking, sales and realisation
with foreign country clients, process of invoicing, retail
products, high value capital equipment, periodic
invoicing for large value infrastructure projects,
Escrow accounts
45 15
Page 21
21
Unit 6
Ø Valuation of projects and investment opportunities -
due diligence procedures Ø Credit Rating of Countries/
State / Investment & Instruments Ø Joint Venture
formulations - FIPS / RBI Ø Infrastructure financing Ø
Issues & considerations, financial feasibility, pricing &
earning model
Unit 7
Case Studies and Presentations.
3.21 Investment Banking
Unit 1
Overview of Investment banking.
Unit 2
Investment banking Activities :
Unit 3
Raising Equity Capital
Unit 4
IPO Process
Unit 5
Private Equity Investments
Unit 6
Role of Investment Banks in Debt Markets
Unit 7
Raising Finance from International Markets
Unit 8
Introduction to M&A
Unit 9
M&A Analysis
Unit 10
Corporate Restructuring 45 15
SEMESTER 4
Elective Courses (EC)
4.22 Technical Analysis
Unit 1
Introduction to Technical Analysis
45 15
Page 22
22
Unit 2
Theories, Techniques & Benefits
Unit 3
Important Aspects of Technical Analysis
Unit 4
Charts and their patterns
Unit 5
Technical Indicators
Unit 6
Introduction & Basic Assumptions
Unit 7
Fundamental Analysis vs. technical analysis
Unit 8
Trend Lines - Support and Resistance
Unit 9
Importance of Volume
Unit 10
Charts and Chart Types
Unit 11
Chart Patterns
Unit 12
Moving Averages
Unit 13
Indicators and Oscillators
Unit 14
Conclusion
Unit 15
Technical Analysis Step by Step
Unit 16
Important Concepts - Explanations
4.23 Fixed Income Securities
Unit 1
Introduction to Debt Markets
45 15
Page 23
23
Unit 2
Bond Structure
Unit 3
Bonds with Options
Unit 4
Risks in Bonds I
Unit 5
Risks in Bonds II
Unit 6
Introduction to Bond Valuation I
Unit 7
Bond Valuation II
Unit 8
MBS & ABS
Unit 9
Valuation of MBS and ABS
Unit 10
Case Studies
Ability Enhancement Courses (AEC)
4.24 Information Technology in Business Management
–II
Unit 1
E-Commerce
Unit 2
MIS 45 15
Core Courses (CC)
4.25 Business Economics – II
Unit 1
Introduction
Scope and Importance of Business
Economics - basic tools - Opportunity Cost
principle - Incremental and Marginal Concepts.
Basic economic relations - functional relations:
equations - Total, Average and Marginal
relations - use of Marginal analysis in decision
making, The basics of market demand, mark et
supply and equilibrium price - shifts in the
demand and supply curves and equilibrium 45 15
Page 24
24
Unit 2
Demand Analysis
Demand Function - nature of demand curve
under different markets Meaning, significance,
types and measurement of elasticity of demand
(Price, income cross and promotional) -
relationship between elasticity of demand and
revenue concepts
Demand estimation and forecasting: Meaning
and significance - methods of demand
estimation: survey and statistical methods
(numerical illustrations on trend analysis and
simple linear regression)
Unit 3
Supply and Production Decisions and Cost of
Production
Production function: short run analysis with
Law of Variable Proportions - Production
function with two variable inputs - isoquants,
ridge lines and least cost combination of inputs -
Long run production function and Laws of
Returns to Scale - expansion path - Economies
and diseconomies of Scale.
Cost concepts: Accounting cost and economic
cost, implicit and explicit cost, fix ed and variable
cost - total, average and marginal cost - Cost
Output Relationship in the Short Run and Long
Run (hypothetical numerical problems to be
discussed), LAC and Learning curve - Break
even analysis (with business applications)
Unit 4
Market str ucture: Perfect competition and
Monopoly and Pricing and Output Decisions under
Imperfect Competition
Short run and long run equilibrium of a competitive
firm and of industry - monopoly - short run and long -
run equilibrium of a firm under Monopoly
Monopolistic competition: Equilibrium of a
firm under monopolistic competition, debate
over role of advertising (topics to be taught
using case studies from real life examples)
Oligopolistic markets: key attributes of
oligopoly - Collusive and non collusi ve oligopoly
market - Price rigidity - Cartels and price
leadership models (with practical examples)
Page 25
25
Unit 5
Pricing Practices
Cost oriented pricing methods: cost – plus (full cost)
pricing, marginal cost pricing, Mark up pricing,
discriminating pricing, multiple – product pricing -
transfer pricing
(case studies on how pricing methods are used in
business world)
4.26 Business Research Methods
Unit 1
Relevance & Scope of Research in Management and
steps involved in the Research Process
Unit 2
Identification of Research Problem and Defining MR
problems
Unit 3
Research Design
Unit 4
Data – Collection Methodology Primary Data –
Collection Methods Measurement Techniques
Characteristics of Measurement Techniques –
Reliability, Validity etc. Second ary Data Collection
Methods Library Research References Bibliography,
Abstracts, etc.
Unit 5
Primary and Secondary data sources Data collection
instruments including in -depth interviews, projective
techniques and focus groups
Unit 6
Data management plan – Sampling & measurement
Unit 7
Data analysis – Tabulation, SPSS applications data base,
testing for association
Unit 8
Analysis Techniques Qualitative & Quantitative
Analysis Techniques, Techniques of Testing Hypothesis
– Chi-square, T -test Correlation & Regression Analysis.
Analysis of Variance, etc. – Making Choice of an
Appropriate Analysis Technique.
Unit 9
Research Report Writing and computer Aided Research
Methodology – use of SPSS packages
Unit 10
Case Studies and Presentations. 45 15
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26
4.27 Financial Spreadsheet
Unit 1
Additional Practice File
Unit 2
Aggregation Functions
Unit 3
Arithmetic Function
Unit 4
Array
Unit 5
Auditing
Unit 6
Choose
Unit 7
Comment
Unit 8
Data Filter
Unit 9
Excel Overview
30 10
4.28 Derivatives II
Unit 1
Introduction to Derivatives
Unit 2
Derivative Products
Unit 3
Basic of Options
Unit 4
Basic of Futures
Unit 5
Types of Margins
Unit 6
Pricing of Futures
45 15
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27
Unit 7
Options
Unit 8
Option Strategies
Unit 9
Option Greeks
Unit 10
Futures and Option Strategies
SEMESTER 5
Elective Courses (EC)
5.29 Foreign Exchange
Unit 1
What is Foreign Exchange, its need and Administration
in India
Unit 2
FEDAI, Forex Business Infrastructure in Banks
Unit 3
SWIFT, Different types of forex trades
Unit 4
Different Types of Exchange Rates
Unit 5
Foreign Exchange Arithmetic
Unit 6
Determination of Forex Rates -the factors that affect
them
Unit 7
Introduction to International Markets, LIBOR
Unit 8
Raising Funds in the International Markets,
Introdu ction to Bond Markets
Unit 9
Types of Bonds in Different Currencies
Unit 10
Basic Types of Derivatives 45 15
5.30 Financial Planning
Unit 1
Financial Planning and Personal Financial Statements
45 15
Page 28
28
Unit 2
Cash flow and debt management
Unit 3
Investments Asset and Acquisition
Unit 4
Asset to invest in
Unit 5
Insurance policies and strategies
Unit 6
Investment Planning
Unit 7
Education Planning
Unit 8
Tax Planning
Unit 9
Retirement Planning and special circumstances
Unit 10
Risk and Return
5.31 Project Finance
Unit 1
Introduction
Unit 2
Participants
Unit 3
Analysis
Unit 4
Feasibility Study
Unit 5
Capital Structure
Unit 6
Preparing the Financial Model
Unit 7
Risks and Mitigation
Unit 8
Financing Documents
45 15
Page 29
29
Unit 9
Public Private Partnership
Core Courses (CC)
5.32 Financial Modeling
Unit 1
Overview of Financial Modeling
Unit 2
Best Practices
Unit 3
Core Statements
Unit 4
Forecasting Revenue and Expenses
Unit 5
Scenario Analysis
Unit 6
Working Capital Schedule – (Assets)
Unit 7
Working Capital Schedule – (Liabilities)
Unit 8
Depreciation Schedule
Unit 9
Amortization Schedule
Unit 10
Long -Term Items and completion of income statement
logic
Unit 11
Shareholder’s equity Schedule
Unit 12
Debt and Interest
Unit 13
Troubleshooting your Financial Model (Part A)
Unit 14
Troubleshooting your Financial Model (Part B)
Unit 15
Data Tables
Unit 16
Basics of Valuation 30 10
Page 30
30
Unit 17
Valuation Of Companies - DDM
Unit 18
Discounted Cash Flow Model
Unit 19
Recap (A)
5.33 Strategic Management
Unit 1
Introduction to Strategic Management
Unit 2
Strategic Management Process: Vision, Mission, Goal,
Philosophy, Policies of an Organisation
Unit 3
Strategy, Strategy as planned action, its importance,
Process and advantages of planning Strategic v/s
Operational Planning
Unit 4
Strategy Choices Hierarchy of Strategies Types of
Strategies Porter’s Generic Strategies Competitive
Strategies and Strategies for different industries and
company situations Str ategy Development for Non -
profit, Non -business oriented organizations Mckinsey’s
7 S Model: Strategy, Style, Structure, Systems, Staff,
Skills and Shared values.
Unit 5
External and Industry Analysis General Environment
Industry / Competitive Environment Identifying
industry’s dominant features Porter’s Five Forces of
Competitive Analysis Analytic Tools: EFE Matrix and
CPM
Unit 6
Internal Analysis Assessment of Company Performance
Management & Business Functions Framework Other
Frameworks for Organisati onal and Internal Analysis
Analytical Tool: IFE Matrix
Unit 7
Strategy Analysis and Formulation Tools SWOT Matrix
SPACE Matrix BCG Matrix IE Matrix GE – McKinsey
Matrix Grand Strategy Matrix Strategy Mapping and the
Balanced Scorecard
45 15
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31
Unit 8
Growth A ccelerators: Business Web, Market Power,
Learning based.
Management Control, Elements, Components of
Management Information Systems
Unit 9
Strategy Evaluation and Control Performance
Measurement and Monitoring
Unit 10
Financial Projections and Financi al Impact of Strategies
Unit 11
Miscellaneous Management Topics Social
Responsibility Environmental Sustainability Value
Chain Analysis Economic Value Added (EVA) Market
Value Added (MVA) Strategic Issues in a Global
Environment
Unit 12
Case Studies and Presentations
5.34 International Business
Unit 1
Introduction to International Business a) Objective,
Scope, Importance and Current Trends b) Domestic
Business v/s International Business c) Reasons for
International Business – For Corporate and Country d)
Modes of Entry and Operation
Unit 2
PEST Factors and Impact on International Business a)
Risk Analysis b) Decisions to overcome or managing
risks – a live current case
Unit 3
Investment Management in International Business a)
Foreign Direct Investment b) Offshore Banking c)
Foreign Exchange Dealings and numerical in business
d) Resource Mobilization through portfolio/GDR/ADR
e) Other options of funding in ventures and case
disc ussions
Unit 4
Multinational Corporations a) Structure, system and
operation b) Advantages and Disadvantages – Case
discussion c) Current Opportunities of Indian MNCs
and Case discussion d) Issues in foreign investments,
technology transfer, pricing and r egulations;
International collaborative arrangements and strategic
alliances. 45 15
Page 32
32
Unit 5
Globalization a) Concept and Practice b) Role of Global
Organisation and Global Managers c) Stages of building
Global companies and competitiveness d) Global
competitive advantages of India - Sectors and
Industries – Case study
Unit 6
International Organisations and their role in
international business a) WTO b) World Bank c) ADB
d) IMF and others Case study
Unit 7
Regional Trade Agreements and Free Trade
Agreements (R TA and FTA) a) NAFTA b) EC c) ASEAN
d) COMESA e) LAC f) Others – Case Study
Unit 8
Trade Theories and relevance in International Business
a) Absolute advantage b) Comparative advantage c)
Competitive advantages d) Purchasing power points e)
PLC theory f) Others – Case study
Unit 9
International Logistics and Supply Chain a) Concepts
and Practice b) Components of logistics and impact on
trade c) Others – Case Study
Unit 10
International HR Strategies a) Unique Characteristics
of Global HR b) HR – Challe nges c) Ethical Issues d)
Regulator, Aspects of HR e) Others - Case Study
Unit 1 1
Emerging Developments and Other Issues: Growing
concern for ecology; Counter trade; IT and
international business.
Unit 12
Case Studies and Presentations.
Summer Internship
5.35 Summer Internship 45 15
Page 33
33
SEMESTER 6
Elective Courses (EC)
6.36 Financial Risk Management
Unit 1
Introduction to risk management
Unit 2
Enterprise risk management
Unit 3
Corporate Governance and Corporate Risk
Management
Unit 4
Case Studies
Unit 5
Basic Quants and Statistics Part 1
Unit 6
Basic Quants and Statistics Part 2
Unit 7
Capital Asset Pricing Model
Unit 8
Arbitrage and Arbitrage Pricing Theory – Multi -factor
Model
Unit 9
Banking Sector
Unit 1 0
Information Risk, Data Quality Management and Risk
Reporting
Unit 1 1
Role of Exchanges and Central Counterparty in Capital
Market Trades
Unit 12
Interest Rates and Interest Rate Futures
Unit 1 3
Derivatives Part 1
Unit 1 4
Derivatives Part 2
45 15
Page 34
34
Unit 1 5
Commodities Market Part 1
Unit 1 6
Commodities Market Part 2
Unit 1 7
Fixed Income Market Part 1
Unit 1 8
Fixed Income Market Part 2
Unit 1 9
Fixed Income Market Part 3
Unit 2 0
Foreign Exchange Market
6.37 Portfolio Management
Unit 1
Introduction to Portfolio management
Unit 2
Portfolio Management Models
Unit 3
Portfolio Manager
Unit 4
Security analysis
Unit 5
Case Studies and Practical Applications 45 15
6.38 Taxation
Unit 1
Introduction to Taxation
Unit 2
Direct Tax - Salaries
Unit 3
Direct Tax - House Property
Unit 4
Direct Tax - Capital Gains
Unit 5
Direct Tax - Profits and Gains from
Business and Profession 45 15
Page 35
35
Unit 6
Direct Tax - Other sources
Unit 7
Direct Tax - Deductions
Unit 8
Direct Tax - Exemptions
Unit 9
Direct Tax - Advance Tax and Tax
deducted at source
Unit 10
Direct Tax - Filing return of income
Unit 11
Indirect Tax - Introduction to excise and
CENVAT
Unit 12
Indiect Tax - Introduction to customs
Unit 13
Indirect Tax - Introduction to VAT &
CST
Unit 14
Indirect Tax - Introduction to
Unit 15
service tax
Unit 16
Indirect Tax - Introduction to goods and
service tax
Core Courses (CC)
6.39 Financial Technology
Unit 1
IPO & Book Building
Unit 2
Secondary Markets & Technology Set -
up
Unit 3
Trading Systems & Technology
45 15
Page 36
36
Unit 4
Back Office Technology
6.40 Entrepreneurship Management
Unit 1
Qualities of an Entrepreneur. Understanding the
difference between an Employee / self -employed /
Business person / Investor. Robert Kiyosaki's Cash
Flow Quadrant.
Unit 2
Difference between creating an Asset / earning an
Income.
Unit 3
Selecting a Business Idea - Doing a Market Analysis.
Process of Generating a Business Idea - Screening &
Selection.
Unit 4
Developing a Business Plan - Elements of Marketing /
Finance / HR / operations / IT / Taxation.
Unit 5
Government's role for entr epreneurship development
in India Institutes and non -government organisations
imparting training on entrepreneurship. Start -up India
Modalities. Policies governing SMEs Organizational
Structure Steps in setting up a small unit SME funding.
Requirements of capital (fixed and working), Factors
determining capital requirements, Importance of fixed
and working capital, Working capital management,
Sources of finance for SME’S. Taxation benefits SIDBI
and SISI – Their role in the development of SMEs.
Taxation ben efits SIDBI and SISI – Their role in the
development of SMEs Marketing mechanism in SMEs
Problems of SMEs and prospects Turnaround
strategies for SMEs
Unit 6
Options available to entrepreneurs, ancillarisation
franchising and outsourcing. Cases on takeove r,
mergers and acquisitions in India and at global level.
Social Entrepreneurship -Definition, importance and
social responsibilities NGOs
Unit 7
Starting Sports Businesses in India. Types / structures
/ business potential.
Unit 8
Case Studies and Present ations. 45 15
Page 37
37
6.41 Islamic Banking & Finance
Unit 1
Islamic Finance: Current Scene and Projected Potential
Unit 2
The Fundamentals of Islamic Finance
Unit 3
Islamic Insurance
Unit 4
Application of Islamic Finance to the Capital Market
Unit 5
Capital Mobilization through Islamic Bonds
Unit 6
Microfinance in the Context of Islamic Finance
Unit 7
Banking & Islamic Finance
Unit 8
Islamic Finance in India Today: case study
45 15
Project work
6.42 Project work 45 15
Page 38
38
PASSING STANDARD AND PERFORMANCE GRADING:
MARKS GRADE POINTS
GRADE
75 TO 100 7.5 TO 10.0 O
65 TO 74 6.5 TO 7.49 A
60 TO 64 6.0 TO 6.49 B
55 TO 59 5.5 TO 5.99 C
50 TO 54 5.0 TO 5.49 D
0 TO 49 0.0 TO 4.99 F (FAILS)
The performance grading shall be based on the aggregate performance of Internal
Assessment and Semester End Examination.
The Semester Grade Point Average (SGPA) will be calculated in the following manner:
SGPA = CG / C for a semester, where C is Credit Point and G is Grade Point for the
Course/ Subject.
The Cumulative Grade Point Average (CGPA) will be calculated in the following manner :
CGPA = CG / C for all semesters taken together.
R. __________ PASSING STANDARD FOR ALL COURSES :
Passing 50% in each subject /Course combined Progressive Evaluation (PE)/Internal
Evaluation and Semester -End/Final Evaluation (FE) examination taken together. i.e.
(Internal plus External Examination)
R. __________
A. Carry forward of marks in case of learner who fa ils in the Internal Assessments
and/ or Semester -end examination in one or more subjects (whichever
component the learner has failed although passing is on total marks).
B. A learner who PASSES in the Internal Examination but FAILS in the Semester -
end Examina tion of the Course shall reappear for the Semester -End Examination
of that Course. However his/her marks of internal examinations shall be carried
over and he/she shall be entitled for grade obtained by him/her on passing.
C. A learner who PASSES in the Semester -end Examination but FAILS in the
Internal Assessment of the course shall reappear for the Internal Examination of
that Course. However his/her marks of Semester -End Examination shall be
carried over and he/she shall be entitled for grade obtained by him/her on
passing
Page 39
39
R. __________ ALLOWED TO KEEP TERMS (ATKT)
A. A learner shall be allowed to keep term for Semester II irrespective of number of
heads/courses of failure in the Semester I.
B. A learner shall be allowed to keep term for Semester III wherever applicable if
he/she passes each of Semester I and Semester II.
OR
C. A learner shall be allowed to keep term for Semester III wherever applicable
irrespective of number of heads/courses of failure in the Semester I & Semester
II.
D. A learner shall be allowed to keep term for Semester IV wherever applicable if
he/she passes each of Semester I, Semester II and Semester III.
OR
E. A learner shall be allowed to keep term for Semester IV wherever applicable
irrespective of number of heads/courses of failure in the Semester I, Semester II,
and Semester III
F. A learner shall be allowed to keep term for Semester V wherever applicable if
he/she passes each of Semester I, Semester II, Semester III and Semester IV.
OR
G. A learner shall be allowed to keep term for Semester V wherever applicable
irrespective of number of heads/courses of failure in the Semester I, Semester II,
Semester III, a nd Semester IV.
H. The result of Semester V I wherever applicable OR final semester shall be kept in
abeyance until the learner passes each of Semester I, Semester II, Semester III,
Semester IV , Semester V wherever applicable.
OR
I. A learner shall be allowed to keep term for Semester VI wherever applicable
irrespective of number of heads/courses of failure in the Semester I, Semester II,
Semester III, Semester IV and Semester V.