Introduction to Investment Advisory

Course Objectives

The “Introduction to Investment Advisory” course aims to equip participants with a foundational understanding of the investment advisory landscape. Learners will gain clarity on the role and responsibilities of an investment advisor and distinguish between investment advisory and financial planning. The course explores various asset classes and popular investment instruments such as mutual funds, stocks, bonds, and insurance products. Participants will understand the principles of risk profiling, diversification, goal-based investing, and asset allocation. Emphasis is placed on ethical practices, fiduciary responsibilities, and SEBI’s regulatory framework governing investment advisory services. The course also introduces learners to emerging trends, including the rise of robo-advisors, ESG (Environmental, Social, and Governance) investing, and global investment opportunities. By the end of the course, learners will be better prepared to assist clients with personalized and responsible investment strategies.

Pedagogy:

1. Interactive Lectures: Each module includes concise, focused lectures to explain key concepts clearly and effectively.
2. Real-World Examples: Practical examples and case studies to illustrate investment advisory practices.
3. Scenario-Based Learning: Simulations and sample client profiles to explore risk profiling, goal setting, and asset allocation.
4. Discussion & Reflection: Open-ended questions and group discussions to foster critical thinking and ethical considerations.
5. Technology Demonstration: Introduction to digital tools and robo-advisory platforms through demos or guided walkthroughs.

Programme Highlights:

• Learn the distinction between financial planning and investment advisory.
• Understand the characteristics of major asset classes and investment products.
• Gain practical insights into portfolio construction, diversification, and asset allocation strategies.
• Explore the regulatory framework and ethical responsibilities under SEBI guidelines.
• Discover cutting-edge trends like AI-driven advisory and ESG-focused investing.
• Suitable for aspiring financial advisors, students of finance, and professionals seeking a structured understanding of investment advisory.