SVKM’s Narsee Monjee Institute of Management Studies

Name of School – Anil Surendra Modi School of Commerce

Program: B.B.A. Semester : V

Course : Financial Markets & Institutions Code:

Teaching Scheme Evaluation Scheme

Internal Continuous Term End
Lecture Practical Tutorial Credit Assessment (ICA) Examinations (TEE)
(weightage) (weightage)
60 50 50

Internal Component Assessment break up -

ICA 1 ICA 2 ICA 3 ICA 4

MCQ Test Presentations and viva
30 marks 20 marks
Learning Objectives:
To provide conceptual understanding of the way India’s financial market functions in terms of
the different categories of participants, their role in the financial system and their interaction,
along with, familiarizing with the various types of financial instruments and their usage.

Learning Outcomes:
To provide the student with complete understanding of Indian financial markets, institutions
and intermediaries. The aim of the course shall be to equip the student with understanding of
different financial instruments and their application in real life scenarios.

Pedagogy: The course shall consist of relevant pre-reading material in accordance with the
various pedagogy used as under:
• PPT
• News articles
• Online resources
• Numericals
• Case studies
Detailed Syllabus: ( per session plan )

Module Module Content Module Wise Module Module

Pedagogy Used Wise Wise
Duration Reference
(hours) Books
I An introduction to a Financial system PPT, News 12 Bharati V
and its constituents Articles, Online Pathak – The
• Financial Markets – Types of Financial resources Indian
markets, functions
Financial
 SVKM’s Narsee Monjee Institute of Management Studies

Name of School – Anil Surendra Modi School of Commerce

• Financial Institutions - Classification System

and role of each type of institution
• Financial Instruments – Types of
financial instruments Financial
services - Need for financial services
and who provides the same
• Interaction among the 4 constituents
of the financial system

Learning Outcomes: Students will

understand the dynamics of Indian
Financial system and its constituents,
Various types of financial markets, its
role and function in Economic growth
and regulation of various participants in
the financial system.
II Financial Markets – Types (Capital PPT, News 18 Bharati V
markets & Money markets) Articles, Pathak – The
• Pre-IPO activities – Start up Stage, Numerical, Indian
Crowd funding, Stages of venture
Online Financial
funding, Reading of ongoing IPO
documents resources System
• Primary Market - Categories of Online
investors, Ways of mobilizing funds, Sources:
Pricing of an issue in a primary NSE, BSE,
market – fixed price & book building, SEBI
IPO process)
• Secondary market -
Types/components of Secondary
market – Role of market
intermediaries, stock exchanges
functioning, Role & functions of SEBI
• Stock market orders – Market Order,
Stop Order, Limit order
• Products in the primary & Secondary
market - (equity – types of shares,
debt – principle features of a bond
(maturity, coupon rate, principal),
issuers of debt instruments – Govt.,
PSUs, corporate, Characteristics of
Indian debt market, Term structure of
Interest rates, Bond valuation, 4 Cs of
credit for Debt instruments
• Money market - Meaning, how is it
 SVKM’s Narsee Monjee Institute of Management Studies

Name of School – Anil Surendra Modi School of Commerce

different from the other markets,

types of instruments in the money
market – T-bills, Certificate of deposit,
Commercial papers, Call Money
market, Repos)

Learning Outcome: Understanding

various ways of raising equity capital
for a startup, Application of various
market orders for various secondary
and money market products.
Understanding of Regulatory
framework for Primary and Secondary
markets.
III Mutual funds PPT, 10 Bharati V
• Working of Mutual funds Numericals, Pathak – The
• Structure of Mutual Funds in India Factsheet of Indian
• NFO Procedure Mutual Funds, Financial
• Types of Mutual Funds cases studies, System
• Role & Objective of AMFI
Value Research AMFI
• Importance of SIP, SWP, STP,
Website
Tracking Error
• Comparison of Mutual Funds with
various other investment products

Learning Outcome: Students will be

able to differentiate and analyze among
various Mutual Fund products
available, compare MF with other
sources of investments. Preparation of
product notes for Mutual Funds
IV Introduction to Derivatives Numericals, 14 Bharati V
• Definitions & terminologies of basic PPT, Online Pathak – The
derivatives resources Indian
• Need for derivative markets and Financial
Participants
System
• Introduction to derivatives trading on
Online
Indian exchanges, Types of Margin
• Option Strategies Sources:
NSE, BSE,
Learning Outcome: Students may be SEBI
exposed to the concepts of Derivatives,
 SVKM’s Narsee Monjee Institute of Management Studies

Name of School – Anil Surendra Modi School of Commerce

option strategies used and differentiate

among various strategies and
application in different market
scenarios.
V Introduction to Commodity Markets Numericals, 6 MCX,
• Difference between commodity and PPT, Online NCDEX
financial derivatives resources
• Evolution & role of commodity
exchanges
• Role of NCDEX and MCX
• Introduction to certain global
commodity derivatives

Learning Outcome: Students will gain

an overview into commodities markets,
its various participants and their roles
Text Books:
Bharati V Pathak – The Indian Financial System
The Financial Services marketing Hand book – Evelyn Ehrlich, Duke Fanelli
Reference Books: In addition to above please refer to the below mentioned textbooks
Indian Financial System - M Y Khan
Financial markets & Institutions - Dr. S Gurusamy
Any other information:
After learning the above modules, the student will be able to understand different aspects of
various institutions and intermediaries in the Indian financial markets. The student will be able
to skillfully apply these concepts in real life scenarios sharpening their investment acumen
thereby widening their perspective towards a bouquet of wealth management and investment
products.

Note: Latest edition of text book may be used.

Prepared by Approved by

Prof. Tanvi Joshi

Prof. Ved Beloskar
Signature Signature
(Concerned Faculty/HOD) (Dean)
 SVKM’s Narsee Monjee Institute of Management Studies

Name of School – Anil Surendra Modi School of Commerce

Note:
• Internal marks are for 50 marks. Faculty members can evaluate students continuously
through assignments, projects and presentations.
• For example, if faculty members have to conduct 4 ICA of 20 marks each i.e. ICA will be
of 80 marks but later on, we can scale it down to 50 marks.
• Faculty members are requested to spell down their ICA before the beginning of the
semester, because this will have to be uniformly followed across the campuses.