Fund practitioners examination Materials-Securities Investment Fund (on-the-books)

author of China Securities Investment Fund Industry Association Uncorrupted set

　　 "About the content"
This book by the China Securities Investment Fund Industry Association Uncorrupted set, forTextbook for the Qualification Examination of fund practitioners。
June 2012, China Securities Investment Fund Industry Association was formally established. The PRC Securities Investment Fund Act, as amended on June 1, 2013, is formally implemented, and the examination and certification of the qualification of the Fund is also changed by the China Securities Investment Fund Industry Association. The first exam will be held in 2015. In order to adapt to the development of the industry under the new situation, China Securities Investment Fund Industry Association decided to re-write the fund qualification examination materials.
The characteristics of this book are mainly embodied in the following aspects:
1. Around the Securities Investment fund Industry and fund Management, the relevant knowledge to make a comparative systematic exposition and introduction, to form a relatively complete guiding framework system. The new teaching materials include the fund industry overview, fund supervision and professional Ethics, fund Investment Management, fund operation Management, fund market and sales, fund manager's internal control and compliance management, and the fund's internationalization total of seven articles.
2. Increase the breadth and reduce the difficulty. The content covers all aspects of the fund industry, covering all the basic knowledge of the industry, adding new contents such as asset management, alternative investment and internationalization. The Investment management of the Fund is also the focus of rewriting, as far as possible to explain the investment theory in an understandable way, so that readers easy to grasp the relevant content.
3. Focus on practicality, embody the characteristics of professional knowledge combining theory with practice. Extensive use of charts, case studies, and other vivid expressions to facilitate the reader to understand the relevant knowledge.
4. Pay attention to the timeliness of content, in the laws and regulations, relevant data, related business and so on as far as possible to adopt the latest content.
5. A summary of the content and knowledge structure has been added to each chapter, and each section has increased the induction of learning objectives and knowledge points to facilitate learners ' mastery and review.
　　 "Chapter Catalogue"
Catalogue
　　 The First fund industry overview
Chapter 1th Financial, asset management and investment funds
Section one financial market and asset management industry
Section II Investment Funds
　　 2nd Chapter Overview of Securities investment funds
The concept and characteristics of the Securities Investment Fund in the first section
Section II operation and participation of securities investment funds
Section III legal form and mode of operation of securities investment funds
Fourth section The Origin and development of securities investment funds
The fifth section of China's Securities Investment fund industry development process
Sixth section the position and function of the Securities Investment fund industry in the financial system
　　 Chapter 3rd Types of securities investment funds
Section I. Overview of the classification of securities Investment funds
Section II Equity funds
Section III bond funds
Fourth section money market funds
Fifth. Mixed fund
Sixth Section Capital Preservation Fund
Seventh Trading Type Open Index Fund (ETF)
Section Eighth QDII Fund
Nineth section of the Grading Fund
　　 the second chapter of fund supervision and professional ethics
Chapter 4th Supervision of securities investment funds
The first section of fund supervision overview
Section II fund regulatory bodies and industry self-discipline organizations
Section III Regulation of Fund institutions
Section Fourth regulation of Fund activities
Section Fifth regulation of non-public fund-raising
　　 The 5th chapter of the Fund professional ethics
Section I Ethics and professional ethics
Section II Fund Professional Ethics Code
Section III Education and accomplishment of fund professional ethics
The third chapter of fund Investment Management
　　 6th Chapter Investment Management Foundation
Section I. Financial statements
Section II Analysis of financial statements
The time value and interest rate of the third quarter currency
Section Fourth general descriptive statistical concepts
　　 7th Chapter Equity Investment
Section I. Capital structure
Section II Equity-type securities
Section III Method of stock analysis
Fourth section Stock valuation method
　　 8th Chapter Fixed Income Investment
Section I bond and bond markets
Section II Bond value analysis
Section III Money Market tools
　　 Chapter 9th Derivative instruments
Section one Derivative tools overview
Section II forward contracts and futures contracts
Third section option contract
Fourth Exchange contract
　　 10th Chapter Alternative Investment
Section I Overview of alternative investments
Section II Private equity investment
Section III Real Estate investment
Section Fourth Commodity investment
　　 11th. Investor demand
Section I investor types and characteristics
Section II investor demand and investment policy
　　 12th Chapter Investment Portfolio Management
Section I systemic risk, non-systemic risk and risk decentralization
Section II Asset allocation
Section III passive investment and active investment
Section Fourth Investment Portfolio construction
Section Fifth Investment Management Department
　　 The 13th Chapter Investment Transaction Management
The first section of the Securities market trading mechanism
Section II Trade execution
Section III transaction costs and execution gaps
　　 the 14th chapter the management and control of investment risk
section I types of investment risk
Section II Measurement of investment risk
Section III risk management of different types of funds
　　 The 15th chapter of fund performance evaluation
The first section of the Fund performance evaluation overview
Section II absolute returns and relative gains
Section III Results attribution
Fourth section of fund performance evaluation method

Fourth Fund Operation Management
16th. Fund raising, transaction and registration
The first section of fund raising and subscription
Section II trading, subscription and redemption of funds
Section III Registration of funds
　　 Chapter 17th Investment transactions and liquidation of funds
The first section of the Fund to participate in the stock Exchange level two market transactions and liquidation
Section II Transactions and settlement of inter-bank bond markets
Section III transactions and settlement of investments in overseas securities markets
　　 18th. Valuation, cost and accounting of funds
The first section of fund asset valuation
Section II Fund fees
Section III Fund Accounting
The fourth section of fund Financial Accounting Report analysis
　　 Chapter 19th profit distribution and taxation of funds
First section fund profit and profit distribution
Section II Fund tax
　　 Chapter 20th Information Disclosure of the Fund
The first section of the Fund Information Disclosure overview
Section II Information disclosure obligations of the main parties to the fund
Section III Information disclosure of fund raising
Fourth. Information disclosure of fund operation
Section Fifth information disclosure of special Fund varieties
　　 The fifth chapter of fund sales management
21st. Fund clients and sales organizations
The first section of the Fund customer classification
Section II Fund Sales organization
The third section sells the theory, the way and the strategy of the Fund sale organization
　　 The 22nd chapter of the fund sales behavior norms and information management
The first section of the fund sales organization personnel behavior Norm
Section II Fund promotion and Promotion materials specification
The third section of the fund sales cost specification
Fourth. Applicability of fund sales
Fifth section of fund sales information management
　　 23rd. Fund Customer Service
The first section of the Fund Customer service overview
Section II Fund customer service process
Section III Investor Education work
　　 sixth. Internal control and compliance management of fund managers
　　 24th. Internal control of fund managers
Section I objectives and principles of internal control
Section II Internal control mechanisms
Section III Internal control system
The main contents of the fourth section of internal control
　　 25th. Compliance Management of fund managers
Section One overview of compliance management
Section II Compliance Management Agency settings
Section III main content of compliance management
Fourth. Compliance risk
　　 Seventh. Internationalization of funds
The 26th chapter of the Development of fund internationalization
The first section of overseas market development
Section II International development of Chinese funds
Postscript

Fund practitioners examination Materials-Securities Investment Fund (on-the-books)