NISM X Taxmann's Investment Adviser (Level 1) – Encompassing a comprehensive guide investment advisory & related services – equity, debt, derivatives, mutual funds, and portfolio management services
About this ebook
This book covers all important topics to enhance the quality of investment advisory and related services in the financial services industry. It covers topics related to the following:
• [Know the Basics] of the following:
o Personal Financial Planning
o Time Value of Money
o Evaluating the Financial Position of Clients
o Debt Management & Loans
• [Understand the Indian Markets] for Finance and Securities segments.
• [Get Oriented to Different Investment Products] such as:
o Equity
o Debt
o Derivatives
o Managed Portfolios such as mutual funds, portfolio management services and alternative investment funds
• [Knowledge] about the portfolio construction, performance monitoring and evaluation
• [Understand] about the operational aspects of investment management, key regulations, ethical issues of investment advisers and grievance redressal system
The Present Publication is the August 2023 workbook version, published exclusively by Taxmann for NISM Certification Examination X-A | Investment Adviser (Level 1), with the following contents:
• Personal Financial Planning
o Introduction to Personal Financial Planning
o Time Value of Money
o Evaluating the Financial Position of Clients
o Debt Management and Loans
• Indian Financial Markets
o Introduction to the Indian Financial Markets
o Securities Market Segments
• Investment Products
o Introduction to Investment
o Investing in Stocks
o Investing in Fixed Income Securities
o Understanding Derivatives
• Investment Through Managed Portfolios
o Mutual Funds
o Portfolio Manager
o Overview of Alternative Investment Funds (AIFs)
• Portfolio Construction, Performance Monitoring and Evaluation
o Introduction to Modern Portfolio Theory
o Portfolio Construction Process
o Portfolio Performance Measurement and Evaluation
• Operations, Regulatory Environment, Compliance and Ethics
o Operational Aspects of Investment Management
o Key Regulations
o Ethical Issues
o Grievance Redress Mechanism
Ratings and reviews
About the author
NISM is a leading provider of high-end professional education, certifications, training and research in financial markets. NISM Certification programs aim to enhance the quality and standards of professionals employees in various segments of the financial services sector. NISM's School of Certification of Intermediaries (SCI) develops and conducts certification examinations and Continuous Professional Education (CPE) programs that aim to ensure that professionals meet the defined minimum common knowledge benchmark for various critical market functions like:
• Mutual Funds
• Equities
• Derivatives
• Securities Operations
• Compliance
• Research Analysis
• Investment Advice
These Certifications and CPE Programs are being developed and administered by NISM as mandated under 'Securities and Exchange Board of India (Certification of Associated Persons in the Securities Market) Regulations, 2007'. The Certifications create quality market professionals and catalyse greater investor participation in the markets. Certifications also provide structured career paths to students and job aspirants in the securities market.
