About Investment Advisor Level I

Investment Advisor has become a demand and a knowledge benchmark, for those who wish to enter into advisory business in Indian Stock Markets. This module is made especially for those who are interested to be a registered as an Investment Advisor, partner and representatives of investment advisers under SEBI Regulations 2013 and offering Investment Advisory Services.

Why should one enroll in this course?
  • Know the basics of the Investment advisory, steps in the advisory process.
  • Understand the making and implementation plan.
  • Evaluate different products, their suitability and how the recommendation of the same can impact investment risk, returns and strategies in personal finance environment for investor.
  • Get oriented to Income-Tax, Wealth-Tax and legalities of Estate planning in personal finance and regulatory aspects underlying adviroy.
Who will benefit from this course?
  • Students who are interested in this subject
  • Financial Planners & Advisors
  • Analysts
  • Equity Research professionals
  • Bankers & its Employee's
  • Teachers & Professionals
  • Employees of Stock Broking Company
Course Details

Duration: 30 hours (15 days)

Fees: Rs. 15000/-

Refund of fees: Rs.5000/- if examination cleared in first attempt.

Second attempt for examination additional: Rs. 2100/-

Contents of this course

Day 1 – Introduction To Indian Financial Market
  • The Indian Economy
  • The Indian Financial Markets
  • Structure of Financial Markets in India
  • Role of Participants in the Financial Markets
  • Regulators of Financial Markets
Day 2 – Securities Market Segments
  • Nature and Definition of Primary Markets
  • Role and function of the Secondary Market
  • Corporate Actions
Day 3 – Mutual Funds
  • Meaning and Features of Mutual Fund
  • Concepts and Terms Related to Mutual Funds
  • Regulatory Framework of Mutual Funds
  • Mutual Fund Products
  • Taxation of Mutual Fund Products
  • Mutual Fund Investment Options
  • Process associated with Investment in Mutual Funds
  • Systematic Transactions
  • Benefits of Investing in Mutual Funds
Day 4 – Investment Products
  • Small Saving Instruments
  • Fixed Income Instruments
  • Alternate Investments
  • Direct Equity
Day 5 – Managing Investment Risk
  • Risk
  • Common Types of Risk
  • Measuring Risk
Day 6 – Measuring Investment Returns
  • Understanding Return
  • Understanding Return Concepts
  • The concept of Compounding
  • Real Rate of Return versus Nominal Rate of Return
  • Tax Adjusted Return
  • Risk Adjusted Returns
Day 7 – Concepts Of Financial Planning
  • Financial Planning
  • Need for Financial Advisory Services
  • Scope of Financial Planning Services
  • Financial Advisory and Execution
  • Assets, Liabilities and Networth
  • Preparation of Budget
  • Financial Planning Delivery Process
Day 8 – Asset Allocation And Investment Strategies
  • Asset Classes
  • Portfolio Construction
  • Practical Asset Allocation and Re-balancing Strategies
  • Portfolio Monitoring and Re-balancing
Day 9 – Insurance Planning
  • Need for Insurance
  • Requirements of an Insurable Risk
  • Role of Insurance in Personal Finance
  • Steps in Insurance Planning
  • Insurance Products
  • Non-Life Insurance
  • Life Insurance Need Analysis
Day 10 – Retirement Planning
  • Introduction to retirement planning process
  • Estimating the Requirement Corpus
  • Determining the Requirement Corpus
  • Retirement Products
Day 11 – Tax And Estate Planning
  • Understand Income Tax principles
  • Tax aspects of Investment Products
  • Wealth Tax Act and its implication for clients
  • Estate Planning
Day 12 – Regulatory Environment And Ethical Issues
  • Regulation for Investment Advisers
  • Regulatory System and Environment
  • Role of Regulators
  • Role of Self-Regulatory Organisations (SRO)
  • Prevention of Money-Laundering Act, 2002
  • Code of Conduct and Ethics
  • Ethical Issues in providing Financial Advise
  • Investor Complaint Redressal systems
Day 13 – RECAP & Revision
Day 14 – RECAP & Revision
Day 15 – RECAP & Revision


1. 1. You are eligible for a refund until the course / specialization launches on the platform however kindly note 25% reduction will be done on the amount paid if applied for cancellation.

2. You are not eligible for a refund after earning a Course Certificate, even if you complete a course in a short period.

3. Rs.5000/- will be refunded as a token of reward if examination is cleared in first attempt.

Yes—to enroll in an individual course, search for the course title in the catalog.

Yes, kindly contact Nathani Finance

15 Days Classroom Training

1 Day for Examination

New Batch admission will start every month.

No specific background is required for this course, anybody can join having interest in this Industry.

Although you can take the courses in any order, however we do recommend that you follow the suggested sequence of courses

Yes, Successful candidates will be rewarded the Certificate by the below mentioned organisations post clearing the exams.

Nathani Institute Pvt. Ltd.

National Institute of Securities Markets


National Stock Exchange Ltd.