Master of Commerce (M.Com.) Mutual Fund Management and Wealth Management Syllabus - Mumbai University 2026

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Syllabus for Mutual Fund Management and Wealth Management

Elective course · Semester 1 · M.Com. Advance Accountancy · 4 credits · 100 marks

Module I: (2CREDITS)

Unit 1 Introduction to Mutual Fund A) History & Origin, Definition, Meaning, Characteristics, Advantages, Disadvantages, Limitations of Mutual Funds, Ethics in Mutual Fund. Entities involved – Sponsor, Trust, Trustee, Asset Management Company, Registrar and Transfer Agent ( RTA) and Fund Houses inIndia.
B) Legal Framework - Role of regulatory agencies for Mutual funds –SEBI, RBI, AMFI, Ministry of Finance, SRO, Company Law Board,Department of Company’s affairs, Registrar of Companies,MF guidelines on advertisement , Accounting , Taxation and Valuationnorms, Guidelines to purchase Mutual Funds, Investor protection and MF
regulations, Grievance mechanism in MF in India.
Unit 2 Classification of Mutual Fund A) Types of Mutual Fund- (introduction and Characteristics)
Functional/Operational – Open ended, close ended, Interval
Portfolio – Income, Growth, Balanced, MMMF
Geographical/ Location – Domestic, Offshore

Miscellaneous - Tax Saving Funds, Exchange Traded Funds, Balance Funds, Fixed
Term Plan, Debt Funds, Systematic Investment Planning& Systematic Transfer Plan B) Portfolio Maturity, Calculations of NAV

Module II: (2CREDITS)

Unit 3 Overview of Wealth Management
A) Introduction to Wealth management Definition of Wealth management; understanding
wealth management; wealth
Management process; phases in wealth management process; wealth management
market in India Holistic Planning Framework
B) Sources of wealth; human Capital; Financial Capital; Financial Life Cycle; Working
Life – Pre-family independence; Family; Pre-retirement; Retirement – Active
retirement; Passive Retirement; Elderly Care; Retirement related risk – risk
identification; Market Risk, Asset Allocation Risk, Interest Rate Risk, Inflation Risk, Health/liquidity risk, Longevity Risk, The Financial Planning process Establish and define the relationship with the client; Personal Fact Finding; AnalyzeClient’s
financial status, Risk profile and determine financial goals; Develop financial planning
recommendation and present it to client; Implement client’s financial planning
recommendations; Monitor and review the client’s situation
Asset Classes
Debt as an asset class; Role of debt in wealth management; risk of investing in debt
securities; Equity as an asset class – investing in stocks
Unit 4
a Financial Mathematics:
Calculation of Returns (CAGR ,Post-tax Returns etc.), Total Assets, Net
Worth Calculations, Financial Ratios
b Tax and Estate Planning:
Tax Planning Concepts, Assessment Year, Financial Year, Income Tax Slabs, TDS, Advance Tax, LTCG, STCG, Carry Forward & Set-off, Estate
Planning Concepts –Types of Will – Requirements of a Valid Will– Trust – Deductions -Exemptions Retirement Planning/ Income Streams & Tax Savings Schemes

References

 Future scenario of Financial services : R. Gordan&Natarajan (Himalaya)  Marketing of Financial services : V. K. Avadhani (Himalaya)  MF, Data, Interpretation & analysis : K.G. Shahadevan&Thripairaju (Prentice hall of  India)  Mutual funds in India (Modern scenario): Dr. Manoj Dave & Mr. LalitkumarChauhan,  (Paradise Publishers)  Mutual Funds & Financial Management : Ramesh Garg (Yking books)  Mutual Fund products & services : Indian institute for Banking & Finance ( Taxmann)  Stuart E Lucas, Wealth, Wharton School Publishing
Dun &Bradstreet, Wealth Management, Tata McGraw – Hill Publishing Co. Ltd.  Ben Stein &Phil Demuth, Your Life Time Guide to Financial Planning,New Beginnings Press  Ram NiwasLakhotia, SubhashLakhotia, Tax and Succession Planning through Trusts and Wills, Vision Books Pvt Ltd  NaratCharupat, Huaxiong Huang & Moshe A. Milevsky, Strategic Financial Planning over the Life Cycle,  Cambridge University Press  Roger G Ibbotson, Moshe A Milevsky and Kevin X Zhu, Lifetime Financial Advice : Human Capital, Asset  Allocation and Insurance, Research Foundation of CFA Institute, SundarShankaran, Wealth Engine Indian Financial Planning and Wealth Management handbook, Vision Books Pvt. Ltd

Reproduced from the University of Mumbai syllabus for M.Com. (Advance Accountancy) under NEP 2020, in force from the academic year 2023-24. 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 specialisation. Open a document here if you want the whole thing rather than a single subject.

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