Overview of Legal and Regulatory Framework 9
Stock Market plays a significant role in the development of Economy. Stock Market facilitates mobilization of funds from small investors and channelizes these resources into various development needs of various sectors of the economy. The Securities Contracts (Regulation) Act, 1956 (“SCRA”) is an important piece of legislation which regulates the stock exchanges and contracts in securities.
- Lecture1.1
- Lecture1.2
- Lecture1.3
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- Lecture1.5
- Lecture1.6
- Lecture1.7
- Lecture1.8
- Lecture1.9
Securities Contracts (Regulation) Act, 1956 5
This chapter will give an insight into the various Powers of Central Government, Stock Exchange and SEBI under the SCRA Act, the penal provisions, procedures, offences, the procedure for appeal to SAT, Right of Investors and various listing and delisting provisions under Securities Contract (Regulations) Rules, 1957 etc.
- Lecture2.1
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- Lecture2.3
- Lecture2.4
- Lecture2.5
Securities and Exchange Board of India Act, 1992 4
The objective of this chapter, is to provide a broader information regarding various powers and functions of SEBI, various stringent penalties for protecting the interest of investors and and inspection of various regulated entities, etc. to the students.
- Lecture3.1
- Lecture3.2
- Lecture3.3
- Lecture3.4
Depositories Act, 1996 6
The operational and functional issues relating to depository system have been discussed in this chapter to give an idea of the practical implications of various statutory and regulatory provisions.
- Lecture4.1
- Lecture4.2
- Lecture4.3
- Lecture4.4
- Lecture4.5
- Lecture4.6
An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 1
The objective of this chapter is to discuss ICDR Regulations, at length, which provide detailed provisions relating to public issue such as conditions relating to an IPO and Further Public Offer (FPO), conditions relating to pricing in public offerings, conditions governing promoter’s contribution, restriction on transferability of promoter’s contribution, minimum offer to public, reservations, manner of disclosures in offer documents, etc.
- Lecture5.1
An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 1
This chapter discusses SEBI Listing Regulations which lay down the broad principles for periodic disclosures to be given by the listed entities operating in different segments of the capital markets. The Listing Regulations have been structured to provide ease of reference by consolidating into one single document across various types of securities listed on the Stock Exchanges
- Lecture6.1
An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 1
Takeover code prescribes a systematic framework for acquisition of stake in listed companies. After going through this chapter, the students will have the knowledge about the various procedural aspects of takeover by an acquirer and target company with respect to acquisitions and takeover.
- Lecture7.1
Mutual Funds 3
This chapter will give an insight to the students into various methods of buy back available, prohibitions, objectives and process of buy back etc.
- Lecture8.1
- Lecture8.2
- Lecture8.3
Collective Investment Schemes 2
Collective Investment Scheme are regulated by SEBI (Collective Investment Scheme) Regulations, 1999 which was notified on October 15, 1999. These regulations defines Collective Investment Management Company to mean a company incorporated under the Companies Act, 2013 and registered with SEBI under these regulations, whose object is to organize, operate and manage a collective investment. This chapter will give an overview of collective investment scheme, listing of schemes and its winding up etc.
- Lecture9.1
- Lecture9.2
SEBI (Ombudsman) Regulations, 2003 3
Ombudsman in its literal sense is an independent person appointed to hear and act upon citizen’s complaint about government services. In this chapter, a student will be able to know about SCORES, SEBI Ombudsman Regulations and Informal Guidance Scheme, etc.
- Lecture10.1
- Lecture10.2
- Lecture10.3
Endnotes, References and Suggested Readings 1
- Lecture11.1
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