20BC2048 Financial Planning and Wealth Management 4:0:0

UNIT II: Primary Market & Secondary Market (Trading in Shares) & Overview of NSDL

Types of Issues, Public Issue Process, Common Bid-cum-Application Form, ASBA, Buy Back of Securities, National Stock Exchange, Trading Members & Clearing Members, Authorized Persons & Subbrokers, Uniform Documentation for Opening Trading Account, Screen-based Trading System (SBTS), Trade Management, Market Types, Margin Trading, Settlement, Clearing House, Other Agencies Involved in Settlement, Clearing Mechanism, Clearing Process, Settlement Process, Transaction Cycle 7. T+2 Rolling Settlement Calendar, Delivery Versus Payment (DVP) / Hand Delivery, Auction Settlement, F&O Settlement, Books of Accounts, Straight Through Processing (STP) Organizational structure of NSDL, Features of the depository system, Legal framework; Bye-Laws & business rules of NSDL, NSDL system & connectivity.

UNIT III: Depository Operations & Registrar & Transfer Agent & Business Partners of NSDL

Depository and Issuer, Depository Participant, Transactions, De-materialization, Re-materialization, Secondary Market Purchases, Secondary Market Sales, Power of Attorney (PoA), Transposition, Transmission of Securities, Dividends, Pledging Securities, Freezing of Accounts, Voting Rights in Companies, Dividend Payments in Companies, Physical Shares, Transfer Deed, Delays in Transfer of Shares by Companies, Good and Bad Delivery Norms

UNIT IV: Mutual Fund: AMC Operations & Services Offered by Depository

Legal Structure, Net Asset Value (NAV), Expenses, Load, Offer Documents, Investor Transactions Dividend Options, Dividend Payout Option, Growth Option, Dividend Re-investment Option, Dividend Mechanics, Cut-off Time Regulations, Liquid Schemes & Plans RTA Role, Distributors’ Commission, Bank Accounts, Other Back Office Activities Account opening of beneficiaries; Clearing members and intermediaries; Transmission & nomination; Dematerialization and rematerialization; Trading & settlement; Off-market transfers; Pay-in and pay-out procedures; Settlement of trades and precautions; Internet initiatives by NSDL.

UNIT V: Mutual Fund Transactions through NSE & Qualified Foreign Investors – Equity Shares & Qualified Foreign Investors – Mutual Funds & Special Services

Listed Schemes, Exchange Traded Funds (ETFs), Mutual Fund Service System (MFSS), Subscription (Physical mode), Subscription (Demat mode), Redemption (Physical mode), Redemption (Demat mode), Permitted Transactions, Investment Restrictions, Administration of Investment Limit, Other Conditions, Transaction Flow, Investment Limit, Transaction Flow, Direct Route (Demat), Indirect Route (Unit Confirmation Receipts – UCR), Other Conditions Pledging/ Hypothecation; Securities Lending & Borrowing; Corporate actions; Public issues; Debt instruments and G-Securities; NSC/KVP in Demat form; MAPIN and TIN.

Text Books:

1. NSE Academy, NCFM- Back office Module, Mumbai: NSE, Annual 2. NSE Academy, NCFM- Depository Operations, Mumbai: NSE Annual

Reference Books:

1. IIBF (2010), Anti-Money Laundering & Know Your Customer, Noida: Macmillan Education 2. Dr.J. Dhankhar (2009),”The Indian Capital Market Operation”. New Delhi, Skylark Publication 3. John C. Bogle (2015), Mutual Funds, New Delhi: Wiley 4. Sundar Sankaran(2019), Indian Mutual Funds, New Delhi: Vision books

20BC2047FIN-TECH

Credits: 4: 0: 0 Course Objectives:

1. To learn core Fintech including block chain and data analytics 2. To explain appropriate regulatory and public policy responses to Fintech, 3. To study the correspondent banking relationships to Fintech

COMMERCE AND INTERNATIONAL TRADE (2020)