Mutual Funds: Performance Evaluation and Regulations

Financial services professionals, consultants, and sales professionals interested in providing or selling products and services to fund managers, insurance companies, and banks, and everyone interested in knowing about mutual funds, their evaluation, and portfolio management

Please contact us for information about prerequisites.

Expected Duration
60 minutes

Over the past few decades the mutual fund industry has seen extreme swings in performance, resulting in dramatic changes in the value of investors’ portfolios. The risk versus return dynamics of a mutual fund must be carefully analyzed by any investor. The investors must consider whether the type of mutual fund they are about to invest in is appropriate for their objectives. In order to do so, the investor should assess the fund’s historical return and the amount of risk that the fund has taken to achieve that return, as well as other critical factors. To assess all this information, investors must be able to read and understand the fund prospectus and any other complementary information that is provided by the fund manager and other public sources. The mutual fund industry is a highly regulated industry whereby financial authorities set rules and restrictions to improve transparency of transactions, in an effort to ensure the safety of investors’ money.
This course introduces a number of performance metrics such as Total Return, Sharpe Ratio, Treynor Ratio, Alpha, Standard Deviation, Beta, and R-squared, which are used to determine the risk and return characteristics of a mutual fund. The course then covers the basics of a mutual fund prospectus and Statement of Additional Information, along with an overview of global mutual fund regulations.


Mutual Funds: Measurement, Return, and Metrics

  • identify components used in the measurement of mutual funds’ performance
  • describe the relationship between risk and return
  • identify the metrics used to evaluate risk-adjusted return
  • describe measurements, risk to return relationship, and metrics of mutual funds
  • Mutual Funds: Evaluation and Prospectus

  • describe why mutual fund evaluation is important for investors
  • identify basic components of a mutual fund prospectus
  • recognize mutual fund evaluation process and prospectus components
  • Mutual Funds: Further Information and Regulations

  • identify the basic contents of a Statement of Additional Information (SAI)
  • identify how the objectives of mutual fund regulations can be attained
  • describe the Statement of Additional Information and how the objectives of mutual fund regulations can be attained




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