2023 펀드투자권유대행인

금융투자협회

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PART01
펀드의이해

Chapter01집합투자기구의유형2
section01투자신탁2
section02회사형집합투자기구6
section03조합형태의집합투자기구9

Chapter02집합투자기구의종류11
section01증권집합투자기구11
section02부동산집합투자기구13
section03특별자산집합투자기구13
section04혼합자산집합투자기구14
section05단기금융집합투자기구(MMF)14

Chapter03특수한형태의집합투자기구18
section01환매금지형집합투자기구18
section02종류형집합투자기구19
section03전환형집합투자기구21
section04모자형집합투자기구23
section05상장지수집합투자기구(ETF)24
section06사모집합투자기구28

Chapter04일반적분류에의한집합투자기구30
section01펀드성격에따른분류30
section02투자지역에따른분류39
section03투자전략에따른분류42
section04대체투자여부에따른분류48

Chapter05부동산펀드49
section01부동산펀드의개요49
section02부동산펀드의종류54

Chapter06특별자산펀드57
section01특별자산펀드의개요57
section02특별자산펀드의종류60
실전예상문제62

PART02
신탁의이해

Chapter01신탁상품68
section01신탁일반이론68

Chapter02신탁상품의종류74
section01신탁상품의종류및주요내용74

Chapter03신탁상품의판매83
section01신탁상품의판매83
실전예상문제91

PART03
투자관리

Chapter01자산배분과투자관리94
SECTION01자산배분의의의94
SECTION02자산배분의중요성96
SECTION03자산배분은“투자관리”의핵심솔루션97

Chapter02자산배분설계와실행99
SECTION01투자목표의설정99
SECTION02자산배분자산집단의선정101
SECTION03기대수익률103
SECTION04위험(Risk)108
SECTION05자산배분실행110

Chapter03자산배분전략의종류119
SECTION01전략적자산배분전략119
SECTION02전술적자산배분전략123
[참고]ESG투자에대한이해127
실전예상문제136

PART04
펀드평가

Chapter01펀드분석및평가142
section01펀드분석및평가의목적142
section02집합투자기구분석및평가146

Chapter02집합투자기구성과평가149
section01투자프로세스와투자성과요인149
section02성과평가의종류151
section03집합투자기구유형분류152
section04벤치마크(Benchmark)설정153
section05수익률계산155
section06위험의측정157
section07위험조정성과의측정160
section08성과요인분석163
section09포트폴리오분석164
section10운용회사？운용자질적분석165

Chapter03집합투자기구평가보고서167
section01집합투자기구평가보고서개요167
section02집합투자기구평가보고서주요사항분석168
실전예상문제171

PART05
펀드법규

Chapter01총설176
SECTION01투자펀드의개념과역사176
section02투자펀드의특징178
section03투자펀드의분류179
section04우리나라의투자펀드에대한규제체계180

Chapter02집합투자기구182
section01집합투자182
section02집합투자기구의개념？구조？기관및종류183
section03집합투자기구의설립및등록188

Chapter03집합투자증권의발행·판매·환매192
section01집합투자증권의발행192
section02집합투자증권의투자권유195
section03집합투자증권의광고,판매보수및수수료등197
section04집합투자증권의환매200

Chapter04집합투자업자의영업행위준칙206
section01선관의무및충실의무206
section02자산운용의지시및실행207
section03자산운용의제한208
section04금전차입및대여제한등213
section05이해관계인과의거래등에대한제한214
section06불건전영업행위금지215
section07성과보수의제한216
section08의결권제한등218
section09자산운용에관한공시219
section10파생상품및부동산운용에관한특례223

Chapter05집합투자기구의종류225
section01집합투자기구의종류225
section02특수한형태의집합투자기구231

Chapter06집합투자재산의평가및회계237
section01집합투자재산의평가및기준가격237
section02집합투자재산의회계241

Chapter07집합투자재산의보관및관리245
section01선관주의의무등245
section02운용행위감시등248

Chapter08집합투자기구의해산등250
section01집합투자기구(투자신탁)의해지？해산250
section02집합투자기구의합병252

Chapter09사모집합투자기구에대한특례254
section01총설254
section02일반사모집합투자기구257
section03기관전용사모집합투자기구261

Chapter10외국집합투자증권에대한특례268
section01외국집합투자기구의등록268
section02외국집합투자증권의국내판매방법등270
section03외국집합투자업자에대한감독？검사272
실전예상문제273

PART06
금융소비자
보호법

Chapter01금융소비자보호법제정배경278
SECTION01제정배경278
SECTION02제정연혁279

Chapter02금융소비자보호법개관280
SECTION01금융소비자보호법시행후주요제도변화280
SECTION02금융소비자보호법구성281
SECTION03금융소비자보호법의내용상주요체계282
SECTION04금융소비자보호법의위치283
SECTION05금융소비자보호법의적용예외284
SECTION06전문금융소비자분류284
SECTION07금융소비자의권리와책무등286
SECTION086대판매원칙287

Chapter03금융소비자보호법주요내용290
SECTION01투자성상품및대출성상품290
SECTION026대판매원칙291
SECTION03금융상품판매대리？중개업자에대한영업행위규제306
SECTION04금융소비자권익강화제도307
SECTION05판매원칙위반시제재강화315
실전예상문제322

PART07
펀드영업
실무

Chapter01펀드판매절차326
section01펀드판매단계326
section02펀드판매단계별세부절차327

Chapter02수익증권저축거래328
section01수익증권저축의의의328
section02수익증권저축계약의성립329
section03수익증권저축의종류330
section04수익증권저축의주요내용332
section05저축자에대한우대조치337
section06수익증권매매시의입·출금처리341

Chapter03펀드세제345
section01집합투자기구와세제345
section02소득세법의일반적내용:금융소득과금융소득종합과세346
section03집합투자기구세제351
section04투자자단계에서의과세363
실전예상문제367
PART08
직무윤리

Chapter01직무윤리일반372
SECTION01직무윤리에대한이해372
SECTION02직무윤리의기초사상및국내외동향382
SECTION03본교재에서의직무윤리386

Chapter02금융투자업직무윤리389
SECTION01기본원칙389
SECTION02이해상충의방지의무396
SECTION03금융소비자보호의무401
SECTION04본인,회사및사회에대한윤리453

Chapter03직무윤리의준수절차및위반시의제재480
SECTION01직무윤리의준수절차480
SECTION02직무윤리위반행위에대한제재496
실전예상문제502

PART09
투자자분쟁
예방

Chapter01분쟁예방시스템508
SECTION01개요508
SECTION02분쟁예방을위한방법509
SECTION03개인정보보호법관련고객정보처리514

Chapter02준수절차및위반시제재520
SECTION01내부통제기준520
SECTION02위반에대한제재521
SECTION03분쟁조정제도531

Chapter03주요분쟁사례분석536
SECTION01금융투자상품관련분쟁536
section02펀드상품관련주요분쟁사례539
실전예상문제546

PART10
투자권유와투자권유사례분석

Chapter01투자권유552
SECTION01투자권유552
SECTION02투자권유주요내용558

Chapter02투자권유사례분석570
SECTION01재무설계란?570
SECTION02개인재무설계및재무설계전문가의필요성572
SECTION03개인재무설계의목표574
SECTION04개인재무설계목표달성을위한주요단계575
SECTION05개인재무설계과정577
SECTION06노인가계의재무설계581
SECTION07투자권유사례분석585
실전예상문제590