B.Com. (Investment Management) KYC Documentation and Compliance in Investment Sector Syllabus - Mumbai University 2026
This is the SY BCom IM syllabus under NEP 2020, in force from the academic year 2025-26. 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 KYC Documentation and Compliance in Investment Sector
Module I: Fundamentals of KYC & Regulatory Framework
- Uunit 1: Introduction to KYC and Customer Due Diligence (CDD)
- Definition, objectives, and significance of KYC
- Customer identification and verification process
- Role of KYC in financial fraud prevention
- Unit 2: Regulatory Guidelines & Legal Framework
- RBI, SEBI, IRDAI, and FIU-IND guidelines on KYC
- AML and CFT regulations
- Penalties for non-compliance and regulatory actions
Module II: Practical Applications & Emerging Trends in KYC
- unit 1: Types of KYC & Documentation Requirements
- KYC for individuals vs. businesses (PAN, Aadhaar, Voter ID, GSTIN, etc.)
- CKYC (Central KYC) and Digital KYC processes
- Re-KYC and periodic updates
- unit 2: Technology in KYC & Fraud Prevention
- Role of AI, machine learning, and blockchain in KYC
- e-KYC and Aadhaar-based authentication
- Risk-based KYC approach and fraud detection techniques
Reference Books
- 1 Know Your Customer (KYC) and Anti-Money Laundering (AML) Guidelines in Financial Services – Indian Institute of Banking & Finance (IIBF)
- 2 Anti-Money Laundering and Know Your Customer Compliance – R. K. Gupta
- 3 Financial Compliance: Anti-Money Laundering and KYC – N.S. Toor
- 4 Regulatory Compliance in Financial Services – Suresh Kumar
- 5 Risk, Compliance and Governance in Financial Institutions – G. Suresh Babu
Reproduced from the University of Mumbai syllabus for B.Com. (Investment Management) under NEP 2020, in force from the academic year 2025-26. 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.