Securities Laws and Capital Markets - I

Paper Code: 
BCS 215
Credits: 
3
Contact Hours: 
45.00
Max. Marks: 
100.00
Objective: 

To acquire knowledge and understanding of securities laws and the regulatory framework of capital markets.

9.00
Unit I: 

Securities Contracts (Regulations) Act 1956 :

Objectives of the SCR Act, Rules and Regulations made there under;

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
 

 

9.00
Unit II: 

Securities and Exchange Board of India Act, 1992:

Objective; Powers and functions of SEBI; Securities Appellate Tribunal; Penalties and appeals

9.00
Unit III: 

Depositories Act, 1996 : Depository System in India; Role & Functions of Depositories; Depository Participants; Admission of Securities; Dematerialization & Re-materialization; Depository Process; Inspection and Penalties; Internal Audit and Concurrent

Audit of Depository Participants.

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

9.00
Unit IV: 

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

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

 SEBI (Buyback of Securities) Regulations, 1998: Conditions of buy-back; Buy back Methods: Tender Offer, Open Market (Book building and Stock Exchange); General obligations; Penalties.

SEBI (Delisting of Equity Shares) Regulations, 2009: Delisting of Equity Shares; Voluntary Delisting; Exit Opportunity; Compulsory Delisting.

9.00
Unit V: 

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

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

SEBI (Prohibition of Insider Trading) Regulations, 2015 :

Unpublished price sensitive information (UPSI); Disclosures;

Codes of fair disclosure and conduct; Penalties and Appeals

References: 
  1. Investment Management-Security Analysis and Portfolio Management, -V.K Bhalla
  2. Study Material Published by ICSI
  1. Scanner-Arun Kumar(ShuchitaPrakashans(P) Ltd)
  1. Indian Financial System-M.Y Khan(Tatal Mc Graw Hill New Delhi)
  1. Guide to Indian Capital Market-Sanjeev Agarwal(Bharat Law Hous New Delhi)
  1. Capital Market in India- E Gordon & K Natarajan (Himalaya Publishing House, Mumbai)
  1. Indian Financial System,- H.R Machiraju(Vikas Publishing House Pvt Ltd)
Academic Year: 
2018-2019
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