Course Plan

FM006 : FINANCIAL & CAPITAL MARKET SERVICES (FCMS)
Course Instructor
Name Programme & Batch Email
Mani P. Sam PGDM A/B/C manipsam@rajagiri.edu
1. About the Course

This elective course is expected to familiarize the students with the various aspects of financial
services and ideally meant for those who are looking for a career in financial services (or
financial operations). The emphasis will be on the practical, operational aspects and risk
management. The purpose of the course is to provide students with a general understanding
of the Financial Services and Capital Markets in India as well as the operations and processes
involved. It will enable the students to appreciate and understand the role, responsibilities
and scope of activities carried out by financial Intermediaries as well as the regulators.
Students will understand Banking & Insurance as a financial service. They will understand
the means adopted by corporates for raising short term funding as well as long term capital.
They will also understand the regulatory aspects of Mutual Fund Industry and the roles of
intermediaries involved
2. Course Learning Objectives .
1. Develop and understanding and appreciation of the Indian Financial System and its
historical robustness
2.Understand the Stock Exchange, Clearing Corporation operations and associated

intermediaries with special emphasis on Risk management (PLO is linked to this
CLO - PLO 1b : Our graduates will be able to generate alternatives for effective
problem solving)
3. Understand the Capital raising process and regulations.
4. Appreciate the role and methodology of venture capital financing
5. Understand the Indian money market
6. Develop an appreciation of working capital financing
7. Understand the operational aspects of Mutual funds
2.2.Programme Learning Objective (PLO) : (PLO 1b : Our graduates will be able to

generate alternatives for effective problem solving)
3.Session Plan
Session # Syllabus Topics Reading
Start of Module 1
01-02 Financial services and Intermediaries. SEBI's NISM IX chapter 1, FMT chapter 11,SGC-
regulation and compliance requirements Part I
applicable to Intermediaries.
Stock exchange and clearing house NISM VII chapters - 3,4,5, MYK
03-04 operations (Trading, Clearing & Settlement), Chapter 16,
Risk Management by stock exchanges.
Securities broking operations
NISM IX Chapter 2,MYK chapter 13,14; SGC

05-06 Risk management and compliance. Other chapter 11; NISM XV chapter 2, NISM IIA
services offered by brokers. End of chapters 7,8,9
Module 1
Start of Module 2 NISM IX Chapter 2,MYK chapter 13,14; SGC
07-08 Instruments and methods available for chapter 11; NISM XV chapter 2, NISM IIA
raising capital (including foreign capital). chapters 7,8,9
Regulations applicable to issue of capital.
Role of intermediaries like Merchant banker,
09-10 underwriter ,brokers, and RTAs in issue of NISM IIA chapters 1-4, SBC chapter 8
capital. Methodology applicable to pricing of
public issues.
Start of Module 3
11-12 Financial Institutions, Banking services. NISM IX chapters 4,5,6; NISM IIA chapters
Instruments and Services associated with 7,8,9; MYK chapter 14
trade finance and supply chain finance.
13-14
Financial services associated with Insurance. NISM IIA chapters 10,11,13, NISM IX
Leasing & Hire purchase. chapters 5,6,7
15-16
Credit rating & Financial Information HBR1 , HBR 2, MYK chapter 10
Services.
Start of Module 4
17-18 Venture capital and private equity. MYK chapter 5 & 15; NISM IX chapter 7,8
Leveraged buyouts,
19-20 Mergers (conglomerate merger, horizontal NISM XV chapter1-3, MYK chapter 17; FMT
merger, market extension merger, vertical chapter 7, NISM XV chapter 13
merger and product extension merger)
21-22 McKinsey reports covering the six types

Acquisitions (Six McKinsey types).
23-24
Current regulations on Inter corporate SGC Part III, RBI
investments and loans.
Start of Module 5
25-26 Money markets ( Products, regulators, RBI, MYK Chapter 11, SGC Chapter 13
processes and services )
27-28
instruments used for direct finance by MYK chapter 9,SGC chapter 13, NISM
corporates and institutions workbooks
29-30
Mutual Funds (Concept & Role of a mutual NISM VII chapters - 3,4,5, MYK
fund) Chapter 16,
NISM IIA chapter 5, SGC chapter 13 ,MYK

31-32 Fund structure ,constituents of a MF, MF Chapter 12,NISM VII chapter 8
Products
NISM IIA chapter 4, SEBI regulations on

33-34
commercial paper,
MF Distribution and RTA services
35 Individual Assignment review
36 Group Assignment review
4. References/Books
1. NISM-SERIES-IX--MERCHANT-BANKING-EXAM-WORKBOOK (NISM IX)
2. NISM-Series-XV-Research Analyst Certification Examination Workbook - January
2016 (NISM XV)
3. NISM-SERIES-II-A--REGISTRAR-TO-AN-ISSUE-EXAM-WORKBOOK (NISM IIA)
4. SEBI (Merchant Bankers) regulations 1992
5. SEBI (Registrars to an Issue and Share Transfer Agents) Regulations 1993/
(Amendment) Regulations, 2006.
6. Making Sense of Corporate Venture Capital by Henry W. Chesbrough HBR
Reprint r0203g (HBR 1)
7. How Venture Capital Works by Bob Zider HBR Reprint 98611 (HBR 2)
8. Companies Act 2013, Chapter V Acceptance of Deposits by companies .Section
186 http://ebook.mca.gov.in (MCA V)
9. M. Y. Khan ; Financial services 7th edition; McGraw Hill Education India (MYK)
10.Stephen g. Cecchetti; Money, banking & Financial Markets; McGraw hill
international edition (SGC)
11.RBI Reports, Guidelines and Master circulars on Banking (RBI)
12.IRDAI General guidelines and circulars on Insurance (IRDAI)
13.NISM Series VII Stock Market operations & Risk management (NISM VII)
5. Grading structure
Assessment Modality Weightage
End Term Examination (Application based custom-

30
built question paper)
Mid Term Examination (Application based custom-
20
built question paper)
Individual written Assignment 1 10
Investment Assignment (Moneybhai) 15
Class participation 10
Group Assignment 10
Attendance 5
Total 100
6. Evaluation tools other than examinations
6.1 Individual Investment Assignment

The objective of the assignments is to give a hands-on experience in investing. Every
student enrolling for the course will open an account with moneybhai and will invest
Rs 1 crore for 8 weeks(min)-10 weeks (max)(http://moneybhai.moneycontrol.com). The
investment is to be done as per instructions uploaded at Moodle.
Initial investment report must be submitted at QAIMC (RBS -2 nd floor)
6.2 Individual written Assignment

Every student will be given an assignment associated with intermediary activities and
based on real data. Details will be uploaded at Moodle and the submission also must
be done through Moodle.
6.3 Group Assignment

Group consisting of three to five members .Groups will be specified by the instructor.
(One or two groups with 4 members will be formed if needed). The group will work
on actual published reports of a company operating globally. The Assignment may
call for an analysis of financial service/ capital raising/ short term financing/merger
or acquisition as reported in the press. Details will be published at Course pages at
Moodle.
6.4 Class Participation:

Students should develop their ability to think on their feet and contribute in rigorous
discussions (a skill badly needed in corporate jobs). The class sessions are expected
to be highly interactive and active participation is essential for developing better
understanding through application. It encourages the students to learn from the
experiences and differing viewpoints of others. It also improves their oral
communication and knowledge sharing skills. Short answer questions will be asked
at the beginning of the class based on the previous classes and based on the response
(content and mode) marks will be awarded. Class participation marks will be a
consolidation of such class evaluation. Special assignment (6.5)marks will also be
taken into consideration
6.5 Special assignment for those who score 21 marks or less in the mid-term
examination
All those who score 21 marks or less in the mid-term examination will have to answer
the full mid-term question paper and explain the answers to the instructor on a one-
to one basis. It must be completed within a week of distribution of the mid-term
answer scripts. 20% of class participation marks will be based on the quality of
submission for such students.
7. Course policies, if any

As per the student policy in operation (RBS student Handbook)
8. Assignment/presentation…. Schedule
Date Assignment/presentation Due date
Start T=0 Individual Investment Assignments 8th week
Start T=0 Individual Written Assignment Session 8
Start session 6 Group Assignment Session 12
All sessions Class participation On going
As per RBS schedule Mid Term/End Term examination
Within one week
Special assignment for those who score
As per RBS schedule of answer script
21 or less in the mid-term examination
distribution
9. Course requirements and prerequisites

1. Students must come prepared for each session by reading the respective
reference material given in this course plan.
2. Investment must be completed (min.99 lakhs) and the portfolio statement
(hardcopy printout must be submitted to QAIMC before 10-06-2019.

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FM006 : FINANCIAL & CAPITAL MARKET SERVICES (FCMS)

1. About the Course

2. Course Learning Objectives .

2.Understand the Stock Exchange, Clearing Corporation operations and associated

3. Understand the Capital raising process and regulations.

4. Appreciate the role and methodology of venture capital financing

5. Understand the Indian money market

6. Develop an appreciation of working capital financing

7. Understand the operational aspects of Mutual funds

2.2.Programme Learning Objective (PLO) : (PLO 1b : Our graduates will be able to

Session # Syllabus Topics Reading

NISM IX Chapter 2,MYK chapter 13,14; SGC

21-22 McKinsey reports covering the six types

NISM IIA chapter 5, SGC chapter 13 ,MYK

NISM IIA chapter 4, SEBI regulations on

36 Group Assignment review

End Term Examination (Application based custom-

6. Evaluation tools other than examinations

6.1 Individual Investment Assignment

Initial investment report must be submitted at QAIMC (RBS -2 nd floor)

6.2 Individual written Assignment

6.3 Group Assignment

6.4 Class Participation:

7. Course policies, if any

9. Course requirements and prerequisites

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