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Microlesson · 5-min read

Investment Income — Broken Period Interest and Amortisation of Premium

## Investment Income: Interest, Broken Period Interest & Premium Amortisation

### What is Included in Investment Income?

IncludedExcluded
Income from bonds and debentures of corporatesDividend received from Subsidiaries & JVs
Coupon/interest on government securities

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### Net Interest Income from Investments

$$\text{Net Interest Income} = \text{Gross Interest Income} - \text{Broken Period Interest Paid} - \text{Amortisation of Premium}$$

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### Concept 1: Broken Period Interest

When a bank buys a security in the middle of a coupon period, it pays the seller the interest accrued since the last coupon date (this is called broken period interest or accrued interest).

When the next coupon is received, the bank collects the full coupon. But part of that coupon actually belongs to the seller (the prior period accrual). Therefore:

  • Broken period interest paid must be deducted from the coupon received.
  • Only the remaining amount is the bank's real income.

> Example: Coupon received = Rs 10,000. Broken period interest paid = Rs 3,000 (relates to the period before purchase). Real income = Rs 7,000.

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### Concept 2: Amortisation of Premium on Investment

When a bank buys a security above its face value (at a premium), the excess paid is not income — it is an additional cost that will be lost at maturity.

The premium is amortised (spread) over the remaining maturity and deducted from interest income each year.

$$\text{Annual Amortisation} = \frac{\text{Premium Paid}}{\text{Remaining Years to Maturity}}$$

Each year, this amount is deducted from interest income to reflect the true economic return.

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### Profit/Loss on Sale and Revaluation of Investments

  • Profit or loss on sale of investments → recognised in P&L (net basis).
  • Revaluation of investments: As per RBI guidelines, investments are valued at periodic intervals. Resulting profit/loss is recognised per RBI norms.

Worked example

### Example 1

Broken Period Interest Example:

Bank buys a Government Security on 10th June. Last interest paid by RBI was 1st April; next interest due 1st October. Half-yearly coupon = Rs 10,000.

  • Period from 1st April to 10th June = ~2 months (broken period)
  • Broken period interest paid to seller = 10,000 × 2/6 = Rs 3,333 (approx)
  • On 1st October, bank receives full Rs 10,000
  • Real income to bank = 10,000 − 3,333 = Rs 6,667

In the example from class: Coupon = Rs 10,000, Broken period amount = Rs 3,000 → Real income = Rs 7,000.

### Example 2

Premium Amortisation Example:

Bank purchases a Government Security:

  • Face value = Rs 1,00,000
  • Purchase price = Rs 1,02,000
  • Premium paid = Rs 2,000
  • Remaining maturity = 4 years

Annual Amortisation = 2,000 ÷ 4 = Rs 500 per year

Each year, bank deducts Rs 500 from its interest income on this security. This ensures the total return recognised over 4 years correctly reflects the true yield (which is lower than the coupon because of the premium paid).

⚠️ Common exam mistakes

  • Recognising the full coupon as income without adjusting for broken period interest paid — overstates investment income.
  • Not amortising premium on investments — leads to overstating income in early years and a surprise loss at maturity.
  • Including dividend from subsidiaries and JVs in interest income on investments — dividends are a separate line item.
  • Treating premium amortisation as an expense item instead of a deduction from interest income.
Bare-Act text Paragraphs on Income Recognition from Investments and Valuation of Investment Portfolio · RBI Master Circular on Prudential Norms for Classification, Valuation and Operation of Investment Portfolio by Banks · click to expand
Net interest income from investments = Gross interest income less broken period interest paid and less amortisation of premium. Investments should be valued at periodic intervals as per RBI guidelines.
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