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FINANCIAL MARKET COURSES

Investment Companies (US)

Courses In This Course

An investment company is an entity that is primarily engaged in the business of investing in securities or other assets. These companies invest funds they receive from investors on a collective basis, with each investor sharing in any profits or losses in proportion to their interest in the company.

 

In the US, there are four main types of investment company: mutual funds, closed-end funds, unit investment trusts, and exchange-traded funds. The first three of these are covered in this course, while ETFs are covered in the 'Alternative Assets’ course.

Objectives

In this course, you will explore:

The fundamentals of mutual funds, including among other things their basic structure and regulation, pricing and performance measures, and the different types on offer

Mutual fund investing, including the factors that investors must consider before investing in mutual funds, the process for purchasing mutual fund shares, the various fees and expenses charged by funds, and the tax implications of a mutual fund investment

The main features of closed-end funds and how they differ from mutual

(open-end) funds

The main features of unit investment trusts (UITs)

Prerequisite Knowledge

A basic understanding of the concept of investment is assumed.

Learner Profile

  •    MUTUAL FUNDS (US) - AN INTRODUCTION

    Overview

    A mutual fund is an investment company that pools together money from many investors and invests it in stocks, bonds, or other securities. They offer investors a relatively easy and efficient means of accessing the capital markets, and are easily the most popular type of Investment Company in the United States.

     

    This course looks at the fundamentals of mutual funds, describing among other things their basic structure and regulation, pricing and performance measures, and the different categories on offer from relatively risk-free money market funds to more risky stock and hybrid funds.

    Course Duration

    60 mins

    Prerequisite Knowledge

    Financial Markets – An Introduction

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  •    MUTUAL FUNDS (US) - INVESTING

    Overview

    With almost one-half of all households in the US owning mutual funds, to many Americans ‘investing’ simply means buying mutual funds. These investors buy and sell mutual fund shares through a variety of sources and for a number of different objectives – be it retirement planning, reducing taxable income, or saving for emergencies.

     

    There are many factors influencing an investor’s choice of mutual fund. This course examines the steps investors must take in planning a mutual fund investment: identification of investment criteria, collecting information, assessment of risk, and purchasing shares. It also details the various fees and expenses associated with mutual funds and examines the tax implications of a mutual fund investment.

    Course Duration

    75 mins

    Prerequisite Knowledge

    Mutual Funds – An Introduction

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  •    CLOSED-END FUNDS & UNIT INVESTMENT

       TRUSTS (US)

    Overview

    A closed-end fund (CEF) is an investment company that (usually) issues a fixed number of shares through a once-off public offering. Although not as popular as their open-ended cousin, mutual funds, CEFs are an important investment vehicle in their right. Despite the name similarities, the closed-end structure differs significantly from that of mutual funds. This course explains these differences and describes many of the particular features and characteristics associated with the closed-end structure. The course also provides detailed information about another type of pooled investment vehicle in the US, namely unit investment trusts (UITs).

    Course Duration

    75 mins

    Prerequisite Knowledge

    Mutual Funds – An Introduction

    Mutual Funds – Investing

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This course is designed for:

New recruits to banking and investment management organizations

Staff members working in an asset management/advisory capacity

Employees working in the private banking/wealth management area

Operations and support staff

Sales and marketing executives

Compliance and regulatory staff

Support

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