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Capital Markets
Course Objectives:
This course will enable the students to understand the basic understanding of the working of capital market in India.
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Course |
Learning outcome (at course level) |
Learning and teaching strategies |
Assessment Strategies |
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Course Code |
Course Title |
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24BCS412 |
Capital Markets (Theory)
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CO 1:Analyze the development of secondary market and capital market in India. CO 2:Review the objective, rules and regulations of SCRA ACT, 1956. CO 3:Familiarize with SEBI and IFSCA working in India. CO 4:Interpret SEBI and Depositories act including their guidelines issued. CO 5:Devise the process of trading in the Indian stock market with deep down study of primary and secondary market intermediaries. CO 6: Contribute effectively in course – specific interaction. |
Approach in teaching: Interactive Lectures, Discussions, Tutorials, Problem solving sessions, Presentations
Learning activities for the students: Self-learning assignments, Case Study Analysis, Presentations, Group Discussions
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Continuous Assessment Test, Semester End Examinations, Quiz, Assignments, Class Presentations, Individual and group projects. |
Basics of Capital Market:
- Structure of Capital Market,
- Participants of Capital Market,
- Capital Market Instruments.
Secondary Market in India - I:
- Development of Stock market in India, Stock market & its operations,
- Trading Mechanism, Exchange Traded Fund, Derivatives, Rights Entitlements,
- Block and Bulk deals, Basis of Sensex, Nifty, Types of Indexes.
Secondary Market in India-II :
- Clearing Corporations, Suspension and Penalties,
- Surveillance Mechanism, Risk management in Secondary market,
- Impact of various Policies on Stock Markets,
- Types of Market, Types of Trading Platform,
- Regulators of Secondary Markets.
Securities Contracts (Regulations) Act 1956:
- Objectives of the SCR Act, Rules and Regulations made there under,
- Important Definitions, Recognized Stock Exchange,
- Public issue and listing of securities,
- Case Laws.
International Financial Services Centres Authority (IFSCA) :
- Establishment of Authority, Powers and Functions of Authority,
- International Financial Services Centre (IFSC), Financial Products,
- Financial Services, Listing and Trading of units in IFSC, SEBI IFSC Guidelines.
Securities and Exchange Board of India:
- Objective, Powers and functions of SEBI, Securities Appellate Tribunal,
- Penalties and appeals, Procedure for Redressal of Grievances,
- SCORES, SEBI (Informal Guidance) Scheme, 2003,
- Case Laws.
- Role & Functions of Depositories, Depository Participants, Admission of Securities,
- Dematerialization & Re-materialisation, International Securities Identification Number (ISIN),
- Depository Process, Inspection and Penalties,
- Internal Audit and Concurrent Audit of Depository Participants
- Regulatory Framework, Primary Market and Secondary Market Intermediaries,
- Role and Functions of Merchant Bankers, Stock Brokers,
- Registrars and Transfer Agents, Bankers to an Issue,
- Portfolio Managers, Debenture Trustees, Investment Advisers,
- Research Analysts, Credit Rating Agencies, Depositories and Depositories Participants,
- Foreign Institutional Investors,
- Internal Audit of Intermediaries by Company Secretary in Practice,
- Case Laws and Case Studies.
Essential Readings:
- Study Material Published by ICSI
Suggested Readings:
- Scanner-ArunKumar(ShuchitaPrakashans(P) Ltd)
- Central Banking 101 - Joseph Wang
- Big Debt Crises - Ray Dalio
- The Handbook of Mortgage-Backed Securities - Frank Fabozzi
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