Securities Laws & Capital Markets - Securities Laws - CS Executive Paper 6 - Adv Rajesh Kumar

Table of Contents

1. Securities Contracts (Regulations) Act 1956:

Objectives of the SCR Act, Rules and Regulations made thereunder;

Important Definitions; Recognized Stock Exchange, Clearing Corporation;

Public issue and listing of securities;

Rules relating to Public

Issue and Listing of Securities under Securities Contracts (Regulation) Rules, 1957.

2. Securities and Exchange Board of India Act, 1992:

Objective; Powers and functions of SEBI;

Securities Appellate Tribunal;

Penalties and appeals.

3. Depositories Act, 1996:

Depository System in India;

Role & Functions of Depositories;

Depository Participants;

Admission of Securities;

Dematerialization & Re-materialisation;

Depository Process;

Inspection and Penalties;

Internal Audit and Concurrent Audit of Depository Participants.

4. An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009.

5. An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

6. An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.

7. SEBI (Buyback of Securities) Regulations, 1998:

Conditions of buy-back;

Buyback Methods:

Tender Offer, Open Market (Book building and Stock Exchange);

General obligations;

Penalties.

8. SEBI (Delisting of Equity Shares) Regulations, 2009:

Delisting of Equity Shares;

Voluntary Delisting;

Exit Opportunity;

Compulsory Delisting.

9. An Overview of SEBI (Share-Based Employee Benefits) Regulations, 2014.

10. An Overview of SEBI (Issue of Sweat Equity) Regulations, 2002.

11. SEBI (Prohibition of Insider Trading) Regulations, 2015:

Unpublished price sensitive information (UPSI);

Disclosures;

Codes of fair disclosure and conduct;

Penalties and Appeals.

12. Mutual Funds:

Types of Mutual Funds and Schemes;

Key players in Mutual Funds:

Sponsor, Asset Management Company,

Trustee, Unitholder, Evaluating the performance of Mutual funds- Net Asset Value, Expense Ratio, Holding Period Return.

13. Collective Investment Schemes:

Regulatory Framework;

Restrictions on Business Activities;

Submission of Information and

Documents;

Trustees and their Obligations.

14. SEBI (Ombudsman) Regulations, 2003:

Procedure for Redressal of Grievances;

Implementation of the Award;

Display of the particulars of the Ombudsman, SCORES, SEBI (Informal Guidance) Scheme, 2003.

Case Laws, Case Studies & Practical Aspects

Site Admin