PES INSTITUTE OF TECHNOLOGY, BANGALORE SOUTH CAMPUS
Department Of MBA
Lesson Plan
Semester – III
Subject Code: 14MBAFM302
Subject Title: INVESTMENT BANKING & FINANCIAL SERVICES
Faculty Name: Divya Mathur
No of Hours / Week: 4 hrs.
Practical Component-01 Hr. /Week
Total no of Lectures: 56
IA Marks: 50
Exam Hours: 3 Hours
Exam Marks: 100
Table -1
Session Plan
Mod Session. Contents
No
No.
1
1
2
Pedagogical Tools
Introduction to Investment Lecture
banks:
 To give an idea about the
concept.
 Introduction-Functions
of Investment BanksTypes of Investment
Banks
 Proper understanding
of various aspects
related to investment
banking.
Investment Banking Services: Lecture
 To introduce ways of
investment bank services.
 Investment Banking
Services- Merchant
Banking Services-Issue
Management-Pre issue and
Post issue obligationsChanging landscape of
Investment Banking
Presentation
Assignments /
additional
work
PPT and
Hand outs
-
Student
Learning
Evaluation
Technique
Class Discussion
PPT and
Hand outs
-
Class Discussion
Cumulative
Coverage
11.53%
Understanding of various
modes
of
investment
banking.

3
4
1
LAB-I
5
6
2
Regulation of the Capital
Market
The aim is to understand the
components and functioning
of secondary market.
 SEBI
regulations
for
merchant bankers, brokers
and sub brokers,
intermediaries and
portfolio managers
-The
student
should
understand the system of
capital market.
Regulation of the Capital
Market
 SEBI issue and Listing of
Debt securities Regulation
2008.
 The
student
should
understand the system of
capital market.
The Art Of Budgeting
Depository System:
Objectives, activities,
interacting systems, role of
depositories and their Services
 To understand various
aspects of depository
system.
To understand the role of
NSDL and CDSL
 Advantages of depository
system -NSDL and CDSL
portfolio,
 The student should be
Refer – Table 3
Class Discussion
Assignments
Lecture
-
Class Discussion
Lecture
Refer – Table 3
Class Discussion
Case presentation
Lecture
-
Class Discussion
Case presentation
Assignments
Lecture
PPT and
Hand outs
26.92%
able effectively explain the
system of depository.
7
Lecture
Depository Participants
 The process of clearing
and settlement through
Depositories, Depository
Participants.
 The candidate should be
able to understand the
process.
Refer – Table 3
Class Discussion
Test
Assignments
8
Regulations
relating
to Lecture
Depositories
-SEBI
(Depositories and
Participants)
Regulations
1996 Registration of depository
and participant- Rights
and
Obligations
of
depositories and
 participantsRecent
amendments
 Custodial services- The
Stock
Holding
Corporation of India
Limited
Process of buying a home
lecture
Housing Finance
 To
understand
the
concept of house loan
 Role, Types of housing
loans,
Institutions
and
banks offering Housing
Finance

lecture
Housing Finance
To bring an idea about
system of loan
Procedure and Interest rates.
-
Class Discussion
Case presentation
Assignments
-
Class Discussion
Assignments
Refer – Table 3
Class Discussions
Assignments
2
LAB-II
9
3
10
26.92%
11
12
LABIII
13
4
14
15
16
LABIV
5
17
18
Income
Tax
Implication.
Reverse mortgage loan
 The student should be
able
Non-Banking
Finance lecture
Companies
Types, Growth, Functions,
RBI Guidelines, Prudential
Norms.
Lecture
Factoring:
 Origin,
Types,
Factoring
mechanism, advantages
System of credit disbursement
factoring charges, International
factoring, Factoring in India
Forfeiting:
 Origin, characteristics, benefits,
Forfeiting:
Difference between factoring and
forfeiting,
 Growth of forfeiting in India.
Lecture
Lecture
Lecture
Lecture
Identify a Leasing company in
Bangalore and evaluate their process
and outcomes.(Please mention the
name of the products they
considered for leasing & Brief
history of the company)
2. Identify a Hire purchase company
in Bangalore and evaluate their
process
and
outcomes.(Please
mention the name of the products
they considered for leasing & Brief
history of the company).
Underwriting:
Lecture
Concept – Devolvement - Business
model
Underwriting in fixed price offers
Lecture
and book built offers.
-
Class Discussions
Case presentation
Assignments
PPT and Hand outs
PPT and Hand
outs
PPT and Hand
outs
PPT and Hand
outs
Class Discussions
Refer – Table
3
PPT and Hand outs
Class Discussion
Assignment
PPT and Hand outs
Class Discussion
Assignment
PPT and Hand outs
Class Discussion
38.46%
Venture Capital:
Concept, features, Origin and the
current Indian Scenario.
Private equity Investment
banking perspectives in private
equity ,Concept of bond and int. rate
determination
 What are all the parameters in
Credit rating used in ICRA
explain its silent features
Microfinance: The paradigm NGOs and SHGs
lecture & solving
problems
PPT and Hand Refer – Table
outs
3
Class Discussion
lecture & solving
problems
PPT and Hand outs
Class Discussion
Case presentation
Assignments
lecture & solving
problems
PPT and Hand outs
21
Microfinance delivery mechanisms
– Future of micro finance
lecture & solving
problems
PPT and Hand Refer – Table
outs
3
Class Discussions
Test
Assignments
Class Discussions
Test
Assignments
22
lecture & solving
problems
Lecture
PPT and Hand outs
PPT and Hand outs
Lecture
PPT and Hand outs
25
Leasing: Concept, Steps in Leasing
Transactions, Types of Lease
Legal frameworks,
Advantages and disadvantages of
Leasing,
Explain Venture Capital. Select a
suitable company of your choice in
Bangalore and identify their
financial stages used for the growth
of it and explain its current status.
Contents of a Lease Agreement,
Matters on Depreciation and Tax,
 Problems in leasing
 Problems in leasing
26

lecture & solving
problems
lecture & solving
problems
PPT and Hand outs
PPT and Hand Refer – Table
outs
3
27
Factors influencing Buy or Borrow
or Lease Decision
Briefly explain the current credit
rating system prevailing in India and
explain its impact on Indian
lecture & solving
problems
PPT and Hand outs
19
20
LABV
4
20
23
LABVI
24
5
LABVI
Problems in leasing
Class Discussion
Assignments
Class Discussion
Assignment
50%
61.53%
Class Discussion
Class Discussion
Case presentation
Assignments
Class Discussion
Assignments
76.92%
28
lecture & solving
problems
PPT and Hand outs
Class Discussion
Assignments
Class Discussion
Test
Case presentation
Assignments
Class Discussion
Presentations
Assignments
29
Comparison of Hire
Purchase with Credit sale,
Instalment sale and Leasing
lecture & solving
problems
PPT and Hand Refer – Table
outs
3
30
Banks and Hire Purchase. Problems
related to outright purchase, Hire
purchase and Leasing.
Lecture
PPT and Hand outs
31
Problems related to outright
purchase
Lecture
PPT and Hand outs
Class Discussion
Case presentation
LABVIII
32
Case Study On Credit Rating Of
ICICI
Credit rating:
Definition and meaning, Process of
credit rating of financial instruments
Rating methodology, Rating
agencies, Rating symbols of
different companies.
Rating agencies for SMEs
Lecture
PPT and Hand Refer – Table
outs
3
Class Discussion
Case presentation
Lecture
PPT and Hand outs
Class Discussion
Case presentation
Lecture
PPT and Hand outs
PPT and Hand outs
Class Discussion
Case presentation
Class Discussion
Case presentation
Lecture
PPT and Hand Refer – Table
outs
3
Class Discussion
Case presentation
Lecture
PPT and Hand outs
PPT and Hand outs
Refer – Table
7
33
34
35
8
Economy for Future Generation
Group.
Hire Purchasing: Concepts and
features, Hire Purchase Agreement
Lecture
37
Securitization of debt: Meaning,
Features, Special Purpose
Vehicle
Case Study On Housing Finance
Case On NHB
Types of securitisable
assets, Benefits of Securitization,
Issues in Securitization.
 REVISION
38

Lecture
39
REVISION
LABIX
36
REVISION
Class Discussion
Case presentation
88.46%
100%
3
LABX
40
41
42
43
Venture capital financing stages and
growth
REVISION
REVISION
REVISION
Review of previous year question
papers
LABXI
Case Study - Make Or Buy
Decision For Leasing Vishal
Engineering Enterprises For
Leasing & Hire Purchase
Review of previous year question
papers
Review of previous year question
papers
Review of previous year question
papers
Credit rating companies in India
with its symbols
44
45
46
LABXII
Class Discussion
Case presentation
Table – 2
Presentation Topics
Sl.No.
1
2
3
4
5
6
7
8
Presentation Topic
Pre issue and Post issue obligations
SEBI (Depositories and Participants) Regulations 1996
International factoring
difference between factoring and forfeiting
Investment banking perspectives in private equity
Future of micro finance
Advantages and disadvantages of Leasing
Rating symbols of different companies
Table – 3
Assignments & Additional Work
Mod No
1
2
3
4
5
6
7
8
1-8
S.No.
Assignment Topics
Questions from module 1
Questions from module 2
Questions from module 3
Questions from module 4
Questions from module 5
Questions from module 6
Questions from module 7
Questions from module 8
Each student have to submit three questions from question bank
 1 question for 3 marks


1 question for 7 marks
1 question for 10 marks
Table – 4
Case Study Topics
Case study will be given to the students for
presentation based on previous year question papers problems
S.No.
Particulars
I – VIII
Question Paper, VTU, December 2010
”
Question Paper, VTU, July 2010
”
Question Paper, VTU, December 2009
”
Question Paper, VTU, July 2009
”
Question Paper, VTU, December 2008
”
Question Paper, VTU, July 2008
”
Question Paper, VTU, December 2007
”
Question Paper, VTU, July 2007
”
Question Paper, VTU, December 2006
”
Question Paper, VTU, June / July 2006
”
Question Paper, VTU, December 2004
Mod No
Table – 5
References & Additional Readings
S.No.
1
2
3
4
Particulars
Investment Analysis and Portfolio management – Prasanna Chandra,
3/e,TMH, 2010
Security Analysis & Portfolio Management – Punithavathy Pandian,
2/e, Vikas, 2005.
Investments – ZviBodie, Kane, Marcus & Mohanty, 8/e, TMH,
2010.
Security Analysis & Portfolio Management – Fisher and Jordan, 6/e,
Pearson, 2011.
Table – 6
(IA Pattern)


Test Marks
Presentations
Assignments
60%
20%
20%
For Internal Evaluation T1 marks and the best out of remaining two will be considered.
1st Test is mandatory.