GURU NANAK DEV UNIVERSITY AMRITSAR

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1 FACULTY OF ECONOMICS & BUSINESS SYLLABUS FOR P.G. DIPLOMA IN FINANCIAL SERVICES EXAMINATION: 2013 GURU NANAK DEV UNIVERSITY AMRITSAR Note: (i) Copy rights are reserved. Nobody is allowed to print it in any form. Defaulters will be prosecuted. (ii) Subject to change in the syllabi at any time. Please visit the University website time to time.

2 1 Eligibility: Admission to the Post-Graduate Diploma in Financial Services (Banking & Insurance) shall be open to a person who has passed one of the following examination conducted by the recognized University with atleast 50% marks in the agreegate. B.Com BBA B.Sc. (Economics) BCA B.Sc. (IT) B.A.

3 2 Scheme of Course Paper Subject Max. Marks Theory Internal Ass. Number of Lectures (Per Week) I. Financial Services II. Banking Law & Practices III. IV. Management of Banking Services Management of Insurance Services V. Information Technology in VI. Banking *Viva-Voce (Banking & Insurance) 50 *The students are required to undergo practical training atleast for two weeks in the field of Banking & Insurance. The viva-voce will be based on the practical training.

4 3 PAPER I FINANCIAL SERVICES Time : 3 Hours Max. Marks : 100 Theory : 80 Int. Ass. : 20 Instructions for the Paper Setter :- Each question paper (I to IV) shall consist of two sections A & B. Section-A : The paper setter will set 10 questions and the candidate will attempt 8 questions carrying two marks each. Total weightage of this section will be 16 marks. Section-B : The paper setter will set 8 questions which cover the entire syllabus. The candidate will attempt any four questions. Each question will carry 16 marks. The total weightage of this section will be 64 marks. SECTION-I Introduction to Financial Services, Characteristics and Kinds of Financial Services. Financial intermediaries rendering financial services. Merchant Banking : Origin, meaning and concept, evaluation and functions of merchant Banking. Recent developments in merchant banking. Merchant Banking regulation. Merchant Banking in India. Mutual Funds : Meaning and concept of Mutual Funds. Types of mutual funds, performance and problems of mutual funds in India. Constitution and management of mutual funds ans SEBI Regulations. Advisory Services on Corporate Finance : Introduction, Issue management by merchant bankers, Their role as corporate advisor, underwriters, bankers, registrar to the issue. SEBI Guidelines for the issue of securities. Guideline on IPOs. Credit Rating : Introduction, origin, importance and need for credit rating, factors affecting credit rating. Instruments for rating, advantages, disadvantages of credit rating. Process of credit rating and rating methodology. Credit rating agencies in India-Crisil, ICRA, CARE.

5 4 SECTION-II Lease Financial & Hire Purchase : Introduction, meaning & elements, features & type of leasing Pros & Cons. of leasing, meaning, features of Hire Purchase, legal position V/s. Hire Purchasing. Credit Cards : Introduction, eligibility, type of credit cards, advantages, limitation of credit cards, cost of Bank credit card operation. ATM Cards- its types, Code of Conduct. Depository System and Dematerialisation : Introduction, SEBI guidelines for participants, Code of Conduct for issuer, participants, Dematerialization/ Rematerialion of shares, electronic settlement of shares; pledging, hypothecation of Dematerialized shares. Freezing of Demat Accounts. Consumer Finance : Introduction, Meaning and Concept, modes of consumer finance, types of Consumer finance, procedure for granting finance & terms of financing credit. Factoring and Forfaiting, Asset Securtisation of Debt ; Marketing of Insurance, Pension funds and Govt. securities. Pricing of Bank Products and services. SUGGESTED READINGS : 1. V.A. Avdhani : Security Analysis & Portfolio Management 2. J.C. Verma : Merchant Banking Organisation 3. M.Y.Khan : Financial Services 4. S. Ramesh& Arun Gupta : Venture Capital & Indian Financial Sector.

6 5 PAPER-II BANKING LAW & PRACTICE Time : 3 Hours Max. Marks : 100 Theory : 80 Int. Ass. : 20 Instructions for the Paper Setter :- Each question paper (I to IV) shall consist of two sections A & B. Section-A : The paper setter will set 10 questions and the candidate will attempt 8 questions carrying two marks each. Total weightage of this section will be 16 marks. Section-B : The paper setter will set 8 questions which cover the entire syllabus. The candidate will attempt any four questions. Each question will carry 16 marks. The total weightage of this section will be 64 marks. SECTION-I Introduction : Nature of Banking System in India, Meaning of Banking & Merchant terms. Types of Banks, functions of Banks. Banker-Customer Relationship : Definition and Types of Customers, General relations between Banker and customer, obligation of Banker, Banker s right. Customer s Accounts with the Bankers : Opening of new Accounts-Procedure and practices, documents required for opening of Accounts. Bank passbook- Bank Cheque book-pay in slip-legal aspects of entries in the pass book. Faculty and legal status in respect of nomination. Cheques : Types of Cheques, payment of cheques, crossing of cheque,collection of cheques. Dishonour of cheques-obligation of Customer in respect of dishonour, responsibility of paying bankers. SECTION-II Employment of Bank Funds : The liquid Assests- Importance of liquidity in banking, cash balance,statutory cash reserve in the RBI. Investment in securities and their valuation. Loans and advances-principles of sound lending,credit worthiness of borrowers,factors limiting the levels of a bank advance consortium advances, secured advance- Modes of creating charge types of securities.

7 6 Reserve Bank of India and its Functions : Reserve Bank as bankers s bank, banker to Government, relationship between RBI and Commercial Banks. Analysis of Financial Statement : Banking Company Accounts- their preparation & presentation, operating ratios, liquidity ratios, leverage ratioos. SUGGESTED READINGS : 1. S.R.Deva : Law & Practice of Banking 2. H.L.Tandon : Banking Law & Practice in India 3. P.N. Varshney : Banking Law & Practice 4. Reed Cottors : Commercial Banking

8 7 PAPER-III MANAGEMENT OF BANKING SERVICES Time : 3 Hours Max. Marks : 100 Theory : 80 Int. Ass. : 20 Instructions for the Paper Setter :- Each question paper (I to IV) shall consist of two sections A & B. Section-A : The paper setter will set 10 questions and the candidate will attempt 8 questions carrying two marks each. Total weightage of this section will be 16 marks. Section-B : The paper setter will set 8 questions which cover the entire syllabus. The candidate will attempt any four questions. Each question will carry 16 marks. The total weightage of this section will be 64 marks. SECTION-I Role of Commercial Banks and Development Banks in the development of Economy. Liberalization in Financial Services : Need of reforms in Banking structure, different phases of Indian Banking, committees on reforms in Banking sector, Narasimham committee, Verma Committee Recommendations, challenges ahead of Indian Banking. Mergers and aquisitions in Indian Banking system, International Banking Trends, operation of Indian Banking abroad. Non-Performing Assets and Income Recognition : Introduction, Provisions for NPA, effects reasons for Assets belowing NPA, Tackling with NPA. Services Provided by Banking : Deposit, loans and advances, discounting of bills, letter of credits, Guarantees-liability & rights of surety. Financing Priority Sector : Targets for funding to priority sector, credit guarantee schemes, SSI loan guarantee schemes, guidelines for financing priority sectors. Kinds of borrowers in the priority sector.

9 8 Financing of Agriculture : Lending procedure for Agriculture loans, guidelines for recovery of Agriculture advances, Rashtriya Krishi Bima Yojna, Kisan Credit Card Scheme, Small Farmers Development Agencies. Anciliary Services of the Bank. SECTION-II Management of Banking Services Spread Management : Introduction, factors to be considered, Risks related to spread management, strategy for spread management, Risk Management-Characteristics, Risk V/s uncertainty steps, Effects of Risk Management, Assets & Liability Management; Introduction, Meaning, Objectives of ALM, Scope of ALM. Bank Marketing : Introduction; justification for practicing marketing in Banks, Marketing in Banks in India. SUGGESTED READINGS : 1. Tripathi & Uppal : Role of Banking and New Economics Program. 2. Upadhyaya : Management of Commercial Banks in India.

10 9 PAPER-IV MANAGEMENT OF INSURANCE SERVICES Time : 3 Hours Max. Marks : 100 Theory : 80 Int. Ass. : 20 Instructions for the Paper Setter :- Each question paper (I to IV) shall consist of two sections A & B. Section-A : The paper setter will set 10 questions and the candidate will attempt 8 questions carrying two marks each. Total weightage of this section will be 16 marks. Section-B : The paper setter will set 8 questions which cover the entire syllabus. The candidate will attempt any four questions. Each question will carry 16 marks. The total weightage of this section will be 64 marks. Section-I Insurance : Meaning, nature and significance, essential requirements and principles of Insurance, Contract elements of General Insurance and Life Insurance, re-insurance, nationalization of insurance business in India, Role of Insurance in national economy. Definition of Risk and Uncertainty, Classification of risks, sources of risk-external and internal, risk management. IRDA Act : Salient feature, duties, powers and functions of the authority, financial Accounts and audit, power of Central Government to issue directions, IRDA (Protection of Policy Holders Interest) Regulation 2002, Rationale of opening up of the insurance sector to the private sector. Life Insurance : Meaning, origin and features, growth of Life insurance, types of life insurance policies, law relating to life insurance, general principles of life insurance contract, proposals and policy, assignments and nominations, title and claims, concept of trust in life insurance.

11 10 LIC of India : Role, functions and policies, modern life insurance in India, private sector companies in life insurance sector, recent trends in life insurance. Section II General Insurance : Meaning and origin, growth of General Insurance, nature of general insurance, different types of general insurance, law relating to general insurance organization and management of general insurance in India. Fire Insurance : Meaning, nature, various types of fire policy, subrogation, double insurance, contribution, proximate cause, claims and recovery. Accident and Motor Insurance : Nature, disclosure, terms and conditions, claims and recovery, third party insurance, compulsory motor vehicle insurance, accident insurance. Deposit and Credit Insurance : Nature, terms and conditions, claim, recovery etc. public liability insurance, emergency risk insurance. Marine Insurance : Meaning, nature and scope, law relating to marine insurance, types of marine policy, insurable interest, disclosure and representation, insured perils, proximity cause, voyage, warranties, measurement of subrogation, contribution, underinsurance. Structure, Power and functions of GIC of India and Deposit Insurance and Credit Guarantee Corporation (DICGC). Insurance Surveyorship : Appointment, Legal Provisions and licensing, functions. Application of Management concepts in Insurance, Marketing of Insurance Policies, Insurance and Information technology, Recent developments in Insurance sector. Suggested Readings 1. NCAER Attitude Towards Insurance Cover 2. R.S. Sharma Insurance Principles and Practices 3. N.M. Misra Insurance Principles & Practice 4. O.S. Gupta Life Insurance (Frank Brothers, New Delhi)

12 11 PAPER-V INFORMATION TECHNOLOGY IN BANKING Time : 3 Hours Max. Marks : 100 Theory : 80 Int. Ass. : 20 Instructions for the Paper Setter :- Each question paper (I to IV) shall consist of two sections A & B. Section-A : The paper setter will set 10 questions and the candidate will attempt 8 questions carrying two marks each. Total weightage of this section will be 16 marks. Section-B : The paper setter will set 8 questions which cover the entire syllabus. The candidate will attempt any four questions. Each question will carry 16 marks. The total weightage of this section will be 64 marks. Section-I Single window banking, online transaction processing, anytime banking 365 days banking, anywhere banking, tele banking, home banking, mobile banking, electronic funds management, SWIFT, Electronics clearing, electronic fast collection scheme. Plastic money-debit card, credit card, smart card, E-Commerce and Banking. Section-I Report of Committee on computerization in banks (1989) Dr. Rangrajan Committee Report, Saraf Committee Recommendations. Legislative aspects of electronics banking- Share Committee Recommendations VSAT Technology, Banking on Net, Cyber cash, Virtual cash, KIOSKS, EDI in Banking, Telemarketing, security and control aspects of emerging banking technologies, designing and implementing computerization in banking sector. Sources Jerome Kantler : Management Information System, Prentice Hall of India Pvt. Ltd., New Delhi. 3. Murdick and Ross : Information systems for Modern Management, Prentice Hall of India Pvt. Ltd. New Delhi. 4. Kraynak & Habraken : Internet 6-in Peter Norton's : Introduction to Computer. 6. Daniel Amor : E-Business. 7. Ravi Kalakota and Andrew B. Whinston : E-Commerce.

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