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Capital Markets [1]

Paper Code: 
24BCS412
Credits: 
03
Contact Hours: 
45.00
Max. Marks: 
100.00
Objective: 

Course Objectives:

This course will enable the students to understand the basic understanding of the working of capital market in India.

 

Course Outcomes: 

Course

Learning outcome

(at course level)

Learning and teaching strategies

Assessment Strategies

Course Code

Course

Title

 

24BCS412

Capital Markets

(Theory)

 

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

 

Continuous Assessment Test, Semester End Examinations, Quiz, Assignments, Class Presentations, Individual and group projects.
 

 

9.00
Unit I: 
Essentials of Indian Capital Market

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.

 

9.00
Unit II: 
Secondary market dynamics and Securities regulations

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.

 

9.00
Unit III: 
IFSCA and SEBI infocus

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.

 

9.00
Unit IV: 
Depositories and Depository Participants
  •   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
9.00
Unit V: 
Securities Market Intermediaries
  • 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: 

Essential Readings:

  1. Study Material Published by ICSI
References: 

Suggested Readings:

  1. Scanner-ArunKumar(ShuchitaPrakashans(P) Ltd)
  2. Central Banking 101 - Joseph Wang [2]
  3. Big Debt Crises - Ray Dalio [3]
  4. The Handbook of Mortgage-Backed Securities - Frank Fabozzi [4]

e-Content:

  1. https://www.icsi.edu/student-n/new-syllabus-22/studymaterial2023/executive-program/ [5]

 

Academic Year: 
2024-2025 [6]

Follow Accounting and Taxation on:

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Gurukul Marg, SFS, Mansarovar, Jaipur 302020, (Raj.) India Phone:- +91-141-2400160-61, 2397906-07, Fax: 2395494, 2781158

Source URL: https://accountingtaxation.iisuniv.ac.in/courses/subjects/capital-markets

Links:
[1] https://accountingtaxation.iisuniv.ac.in/courses/subjects/capital-markets
[2] https://salesandtrading.org/blogs/st/capital-markets-and-financial-markets-books#book2
[3] https://salesandtrading.org/blogs/st/capital-markets-and-financial-markets-books#book4
[4] https://salesandtrading.org/blogs/st/capital-markets-and-financial-markets-books#book5
[5] https://www.icsi.edu/student-n/new-syllabus-2022/studymaterial2023/executive-program/
[6] https://accountingtaxation.iisuniv.ac.in/academic-year/2024-2025