Coming soon
Regulation of Securities Markets
Course Objective:
To familiarize the students with the legal environment under which security market operates.
Course Outcome (COs):
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Course |
Learning outcome (at course level) |
Learning and teaching strategies |
Assessment Strategies |
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Paper Code |
Paper Title |
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FMG 518 |
Project Work |
CO183 To familiarize students with significant service marketing concepts. CO184 Understand the practical applicability of customer relationship management. CO185 To demonstrate how market segmentation strategies work in the industries. CO186 To familiarize student with the stock trading, clearing and settlement procedure. CO187 To enhance knowledge of students regarding various securities and non securities form of investments.
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Approach in teaching: Interactive Lectures, Discussion, Tutorials, Practical cases Demonstration, Power point presentation. Learning activities for the students: Self learning assignments, Effective questions, Seminar presentation, Live practical problems analysis |
Class test, Semester end examinations, Quiz, Solving problems in tutorials, Assignments, Presentation, Individual and group projects, Case Study Analysis |
Securities Contract (Regulation ) Act 1956- Introduction, Non applicability, definition, Recognition of Stock Exchange, withdrawal of recognition, Powers of Government, powers of Recognised Stock exchange, clearing Corporation, Powers of SEBI, Licensing of dealers in certain areas, Public issue and listing of securities, contracts in derivatives, conditions for listing, delisting of securities.
Securities and Exchange Board of India Act , 1992- Introduction, Objectives of SEBI, Composition of SEBI, Functions and Powers of SEBI, Registration of Intermediaries, Prohibition of Manipulative and deceptive devices, insider trading etc, Securities Appellant Tribunal( SAT)- Composition, powers, Requirements for Appeal to Tribunal).
Depositories Act, 1996 : Depository System in India; Role & Functions of Depositories; Depository Participants; Admission of Securities; Dematerialization & Re-materialization; Depository Process; Inspection and Penalties;
An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009: Introduction, Eligibility norms for public issue, Types of issues, Meaning of draft offer document, letter of offer and Red herring prospectus , Promoters contribution, Underwriting, Issue opening date, Minimum number of share application and application money, Issue of advertisement, Minimum Subscription, Allotment of shares, Reservation on competitive basis.
SEBI (Listing Requirements and Regulations: Listing of securities, Listing procedures, criteria for listing, listing obligations, Additional Obligations, New listing obligations, listing agreement
SEBI (Delisting of Equity Shares) Regulations, 2009: Delisting of Equity Shares; Voluntary Delisting; Exit Opportunity; Compulsory Delisting.
SEBI (Prohibition of Insider Trading) Regulations, 2015: Unpublished price sensitive information (UPSI); Disclosures; Codes of fair disclosure and conduct.
SEBI Investor Protection Measures
• Bharti V. Phatak, Indian Financial System , Pearson Publication
• M.R. Agrawal, Security Analysis and portfolio Management, Garima Publication.
• Securities Laws & Capital Markets, ICSI Module 2.
• Punithavathy Pandian, Security analysis & Portfolio Management, , Vikash Publication House.
• Finance for strategic decision, Jain, Rathi Mathur, RBD
• Bhole. L.M. “Financial Markets and Institutions’ Tata Mc Graw Hill, New Delhi
• Gordan, Natrajan” Financial Markets & Management of Financial Services” Himalayan publication, New delhi.
