B.Com. (Investment Management) Investment Operations Syllabus - Mumbai University
This is the FY BCom IM syllabus under NEP 2020, in force from the academic year 2024-25. The University still sets the earlier Choice Based papers alongside it for ATKT candidates, so check which scheme your exam form names before you revise.
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Syllabus for Investment Operations
Module I: Navigating Investing Procedures: From account opening to Dematerialization
- A) Investor types and the On-boarding process
- Who can Invest?
- Client On-boarding Process
- Terms of Offer
- Regulatory Requirements
- Mandatory Investor Information
- Investor Folio or Account
- B) PAN, KYC and other processes
- Permanent Account Number (PAN)
- Know Your Customer (KYC) Process
- Know the Central KYC process and the KYC Registration Agencies (KRA)
- A) Demat and Remat processes
- Dematerialisation
- Rematerialisation of Securities
- D) The processes involved for account opening of Non-Resident Investors (NRIs)
Module II: Transactional Processes: Addressing Changes and Special Cases
- A) PoA and other agreements
- General Power of Attorney
- Specific Limited Power of Attorney
- B) Understand the process of Consolidating, reorganising and folio-keeping/Maintenance of Investments
- Change of Address and Contract Details
- Change in Name
- Change in Status
- Marking a Lien
- Transmission
- Nomination, and change in nomination Assignment, especially in case of insurance policies
- C) Understand the operations process flow in Special situations
- Minors as investors
- Minor turns major
- NRI to RI
- RI to NRI
- Additional or deletion of name in an account
- Addition or deletion of bank mandate
- D) The documentation required for financial advice
References
- 1 Handbook on KYC & AML Compliance" by Sandeep G. Apte (Publication: LexisNexis)
- 2 Guide to NRI Investment in India" by Shalini Jain (Publication: Wolters Kluwer)
- 3 "Understanding Power of Attorney and Legal Agreements" by Gautam Kumar Sinha (Publication: LexisNexis)
- 4 Investment Operations by V.K. Bhalla. Published by S. Chand Publishing.
Reproduced from the University of Mumbai syllabus for B.Com. (Investment Management) under NEP 2020, in force from the academic year 2024-25. Wording is as printed in that syllabus. Module numbering is as printed there too.
The complete syllabus
This subject is cut from the University circular for its year. Open a document here if you want the whole thing rather than a single subject.