COURSE SYLLABUS INS Form 1

November 2023
in
Revision: 6
BA-F ELEC 414 Page 1 of 5
(Course Code)
MUTUAL FUND
(Descriptive Title)

1st Semester, A.Y. 2024-2025

Department/Area : BUSINESS AND MANAGEMENT

Curriculum : BACHELOR OF SCIENCE IN BUSINESS ADMINISTRATION MAJOR IN FINANCIAL MANAGEMENT
Curricular Year : 4TH YEAR
No. of Hours/Sem : 54 HOURS
Credit Unit(s) : 3 UNITS
Prerequisites : NONE

University Vision : CTU as a premier, inclusive, globally-recognized research and innovation, smart, community-responsive, and sustainable technological
university

University Mission : The University is primarily providing leading-edge degree programs, innovative professional, entrepreneurial, and technical instruction
as well as research, extension and resource generation programs that address both the needs of the region and the nation in the
context of the global knowledge economy, Fifth Industrial Revolution, and sustainability.

University Goals : By the end of 2024, CTU will be globally recognized for its quality. Specifically, it will
• Obtain a Philippine university system status with a CHED SUC LeveI V recognition or equivalent;
• Be ranked among Top 10 Universities in the Philippines;
• Achieve world-class performance and excellence using leading quality management systems for quality assurance and control;
• Be an internationally recognized and ranked university (including Quacquarelli Symonds, Times Higher Education, Shanghai
University Ranking, World University Rankings);
• Develop innovative academic initiatives, including medical and allied fieIds engineering and technology, and transnational higher
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education programs for enhance career pathways, qualifications, recognitions, accreditations, specialization and progression
programs, and global mobility; and
• Lead innovations in the Fifth Industrial Revolution.

University Outcomes : 1. Transformed visionary leadership in innovation to accelerate regional and national development in the context of the modern
industrial revolution;
2. Increased access by economically challenged but deserving student to relevant, quality, and world-class tertiary education with
learning integration of practical experiences to achieve inclusive and sustainable growth;
3. Developed research-intensive and multi-disciplinary university culture that strengthens higher education research, leading to
economic productivity and innovation;
4. Instituted innovative systems resulting in effective, efficient, sustainable and equitable resource general, mobilization, and
management, including optimal utilization of resources provided by the government and expansion of the other revenue and
funding streams for financial sustainability;
5. Heightened sustainable community and stakeholder engagements, with harmonized institutional, financial, administrative, and
policy frameworks that attain the highest academic, research, extension and resource generation excellence standards;
6. Forged strategic local and international linkages, partnerships, and initiatives leading to heightened regional and global role in the
modern industrial revolution and human and intellectual capital for sustained economic development.

Quality Policy : CTU in compliance with statutory and regulatory requirements is committed to provide quality instruction, research, extension and
production toward customer satisfaction.

Core Values : Commitment, Transparency, Unity, Patriotism, Integrity, Excellence, Spirituality (CTU PIES)

Graduate Attributes : Highly skilled individual, ethically-imbued professional, service-oriented, and effective communicator

Program Educational : The College of Business Management aims to:

Objectives • Provide a complete understanding of the concepts, principles, and the theories of Financial Management.
• Help the students to seek employment and assume entry-level jobs or positions of responsibility as financial analyst, financial
manager, or executive.
• Prepare the students to pursue a teaching career or graduate studies in business.

Program Outcomes : The graduates of BSBA FM should have developed the ability to:
1. Perform the basic function of management such as planning, organizing, directing and controlling.
2. Apply basic concept that underlie each of the functional areas of business (marketing, finance, human resource management,
production and operations management, information technology, and strategic management) and employ these concepts in
various business situations.
3. Select the proper decision making tools to critically, analytically and creatively solve problems and drive results.
4. Express one-self clearly and communicate effectively with stakeholders both oral and written forms.
5. Plan and implement business related activities.
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6. Demonstrate corporate citizenship and social responsibility.

7. Analyze the business environment for strategic direction.
8. Prepare operational plans.

Course Description : This course aims to provide an in-depth coverage of the mutual fund industry and its operations in an interactive format. It is intended to
familiarize you with the basic concepts related to mutual funds. The course first provides the fundamentals, explaining what mutual
funds are and how they work. The course provides an overall understanding of how equity and bond fund portfolios are managed.
Various factors surrounding the performance of mutual funds are then highlighted along with a brief of various standardized
performance systems. Finally, the course depicts the recent trends in the mutual funds industry.

Course Learning : At the end of the course, the students can:

Outcomes
1. CO1: Know the basics of mutual funds, their role and structure, different kinds of mutual fund schemes and their features
2. CO2: Understand the channels for mutual funds distribution
3. CO3: Understand the legalities, accounting, valuation, and taxation aspects underlying mutual funds and their distribution.
4. CO4: Get acquainted with financial planning as an approach to investing in mutual funds, as an aid for mutual fund distributors to
develop long term relationships with their clients.
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Course Content:
INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
Set course expectations: Oral questioning Discussion / PPT Course Orientation PPT presentation
Recognize course objectives, Presentation
course VMGO and Core Values Office Files
requirements and grading
system Course Requirements Student handbook
and Grading System
Observe house rules, policies
and standards House Rules, Policies
and Standards
Revisit the vision, mission,
goals and core values of CTU.
(2 hours)
At the end of this lesson, KWL chart (what you know, what you • Sharing of Concept and Role of • Computer/Android
students will be able to: (9 want to know and what you learn). expectations/understan a Mutual Fund Phone
hours) • Oral and written exam about ding of the course. • Concept & Function • E-Books
• Discuss the concept of strategic management and • Discussion of a mutual fund • Internet Resources
mutual funds. strategic competitiveness • Brainstorming • Advantages and : Websites
• Determine the basic types of • Research assignment about the • Analysis and Writing limitations of a
mutual funds. work of strategic leaders • Sharing of Outputs mutual fund
• Identify the advantages of • Answering questions and quizzes in • Post-Test • Investment
mutual funds. directed assessment objectives, Marking
• Understand the difference to market
between mutual funds and • Unit capital, Assets
bank deposits. under management
(AUM)
• Fund running
expenses, Net asset
value (NAV)
• Brief history of
mutual funds in
India •Closed end
funds and open-
ended funds
• Categorization of
funds by investment
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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
objective, Investing
Horizon & Asset
Class
• International funds,
Fund of Funds,
Exchange Traded
Funds (ETF)
At the end of this lesson, KWL chart (what you know, what you • Sharing of Investment • Computer/Android
students will be able to: (6 want to know and what you learn). expectations/understan Analysis Fund Phone
Hours) • Oral and written exam about ding of the course. Structure and • E-Books
• Determine the constituents strategic management and • Discussion Constituents, Legal • Internet Resources
and structure of a mutual strategic competitiveness • Brainstorming & Regulatory : Websites
fund. • Research assignment about the • Analysis and Writing Environment
• Discuss the difference work of strategic leaders • Sharing of Outputs • Role of the sponsor,
between a mutual fund and • Answering questions and quizzes in • Post-Test trustee and Asset
a commercial bank. directed assessment Management
• Discuss the basic Company (AMC) and
classification of mutual related regulations
funds such other products • Role of other fund
similar to mutual funds. constituents and
• Identify the different types related regulations
of investors and its • Role & Functions of
eligibility. regulators in India-
• Determine the types of SEBI, SRO,AMFI
commissions and • AMFI Code of Ethics
transaction charges. • Investment
• Discuss the fund distribution restrictions and
and sales practices related regulations
• Investor rights and
obligations

PRELIM EXAMINATION (1 HOUR)

At the end of this lesson, KWL chart (what you know, what you • Sharing of Offer Document, • Computer/Android
students will be able to: want to know and what you learn). expectations/understan Fund Distribution Phone
• Determine the constituents • Oral and written exam about ding of the course. and Sales Practices • E-Books
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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
and structure of a mutual strategic management and • Discussion • Regulations with • Internet Resources
fund. strategic competitiveness • Brainstorming respect to drafting : Websites
• Discuss the difference • Research assignment about the • Analysis and Writing and filing of an Offer
between a mutual fund and work of strategic leaders • Sharing of Outputs Document for NFO
a commercial bank. • Answering questions and quizzes in • Post-Test • Process of NFO and
• Discuss the basic directed assessment steps involved in
classification of mutual marketing an NFO
funds such other products • Objectives of
similar to mutual funds. information
• Identify the different types disclosure in an
of investors and its offer document
eligibility. SAI,SID,KIM
• Determine the types of • Types of investors
commissions and and eligibility
transaction charges. • Distribution
• Discuss the fund distribution channels for mutual
and sales practices funds
(9 hours) • Pre-requisites to
become a mutual
fund distributor
• Key elements of
agreement between
distributor and a
mutual fund
• Sales practices and
commission
structure
• Types of
commissions and
transaction charges
At the end of this lesson, KWL chart (what you know, what you • Sharing of Accounting, • Computer/Android
students will be able to: (10 want to know and what you learn). expectations/understan Valuation and Phone
Hours) • Oral and written exam about ding of the course. Taxation, Investor • E-Books
• Discuss the NAV and its strategic management and • Discussion Services • Internet Resources
importance. strategic competitiveness • Brainstorming • Computation of net : Websites
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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
• Calculate the net asset • Research assignment about the • Analysis and Writing assets and NAV-
value. work of strategic leaders • Sharing of Outputs Announcement &
• Valuing the assets of the • Answering questions and quizzes in • Post-Test • Factors affecting
mutual fund. directed assessment NAV
• Discuss the financial • Pricing of
statements that are transactions in a
prepared by the mutual mutual fund
fund. • Timestamping of
• Discuss the accounting transactions,
principles followed by the Charging of
mutual funds. expenses
• Key accounting and
reporting
requirements
• Valuation process
carried out by
mutual funds
• Applicability of
Taxes, Dividend
Distribution Tax
• Taxability of
dividends and
capital gains in the
hands of a mutual
fund investor
• Applicability of
Securities
Transactions Tax
based on type of
transaction and
scheme
• Setting off gains
and losses under
Income Tax Act
• KYC requirements &
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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
Demit Account
concept
• Process related to
fresh, additional
purchase and
redemption in a
mutual fund
• Contents and
periodicity of
Statement of
account
• Process for
Nomination and
Pledge
• Types of Investment
options - dividend,
growth and dividend
re-investment
• Processes related to
systematic
investment,
systematic
withdrawals and
transfers
• Processes related to
other investor
services and
facilities

MID TERM EXAMINATION (1 HOUR)

At the end of this lesson, KWL chart (what you know, what you • Sharing of Risk, Return and • Computer/Android
students will be able to: (9 want to know and what you learn). expectations/understan Performance of Phone
Hours) • Oral and written exam about ding of the course. Funds, Scheme • E-Books
• Measuring fund performance strategic management and • Discussion Selection. • Internet Resources
• Measuring return strategic competitiveness • Brainstorming • Return on : Websites
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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
• Measuring risk • Research assignment about the • Analysis and Writing investment-
• Determine the risk-adjusted work of strategic leaders • Sharing of Outputs Calculation of
return • Answering questions and quizzes in • Post-Test simple, annualized
• Comparing fund directed assessment and compounded
performance with a returns
reference • Applicability of
• Determine the various returns for different
standardized performance types of funds
systems • Factors that may
• Identify the limitations of affect mutual fund
performance measurement performance
and evaluation • Risks in different
• Create financial plan, type of mutual
recommend model funds-Classification
portfolios, and determine based on risk
the basics of financial • Process for Bench-
planning. marking of
performance
• Steps in selecting &
evaluation equity
funds, debt
• funds, Money
market fund,
Balanced fund &
factors impacting
their performance
• Sources of data to
track mutual fund
performance
• Classification of
assets into physical
and financial assets
Features

SEMI-FINAL EXAMINATION (1HOUR)

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INTENDED LEARNING
ASSESSMENT TEACHING LEARNING LEARNING
OUTCOME CONTENTS REMARKS
TASK(S) ACTIVITY RESOURCES
(WITH TIME ALLOCATION)
At the end of this lesson, KWL chart (what you know, what you • Sharing of Financial Planning, • Computer/Android
students will be able to: (9 want to know and what you learn). expectations/understan Recommending Model Phone
Hours) • Oral and written exam about ding of the course. Portfolios and • E-Books
• Measuring fund performance strategic management and • Discussion Financial Plans Basics • Internet Resources
• Measuring return strategic competitiveness • Brainstorming of financial planning- : Websites
• Measuring risk • Research assignment about the • Analysis and Writing Financial Goals,
• Determine the risk-adjusted work of strategic leaders • Sharing of Outputs Investment Horizon
return • Answering questions and quizzes in • Post-Test • Objective, Benefits
• Comparing fund directed assessment & Need for financial
performance with a planning
reference • Life cycle and
• Determine the various wealth cycle in
standardized performance financial planning
systems • Tools to categorize
• Identify the limitations of investors' needs
performance measurement •Risk profiling
and evaluation • Asset allocation and
• Create financial plan, types
recommend model • Importance and
portfolios, and determine steps for developing
the basics of financial a model portfolio
planning.

FINAL EXAMINATION (1HOUR)

References:
1. The Mutual Fund Industry by R. Glenn Hubbard
2. Mutual Funds -Ladder to wealth creation by Vivek Negi
3. Common Sense on Mutual Funds: New Imperatives for the Intelligent Investor by John C. Bogle

Course Requirements:
 Group Report
 Class Attendance
 Class participation
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 Seat-work/Activities
 Midterm and Final Exam
 Project (Business plan writing for implementation)

Evaluation Procedures: (Approved Grading System applicable to the course/program Based in the CTU Student Manual)

Class Standing – 60 %
Quizzes – 30 %
Graded Oral Presentation – 20%
Project/Assignments/Final Reports – 20%

Term Examination – 40 %

Total - 100%

Suggested Readings/References:

Prepared by:

Genessa L. Basilisco
Part-Time Instructor
CONSOLACION CAMPUS

Revision Date:

Submission Date:
August 9, 2024

Upon Recommendation of the Curriculum Committee:

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HUBERT G. QUINONES, Ph.D., DM-HRM ARLENE R. SALAC Dev.Ed. D ROMEO P. MONTECILLO. Ph.D
Main Campus Dean College of CTU-Consolacion Campus Director
Management and
Entrepreneurship

APPROVED:

WILSON M. SAYABOC, Ph.D. . .

University Director for Instructional Delivery, Monitoring and Evaluation Program
Cluster Facilitator
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Utilized by:

Consultation Hours:
(This varies based on identified consultation hours for
every teacher.)

Contact Details/Email:
09xx-xxxxxxx / [email protected]

Noted by:

Staphen Dave Q. Ponce ARLENE R. SALAC Dev.Ed. D

Chairperson College Dean Campus Dean of Instruction
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