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Paper 6

Capital Markets & Securities Laws

About Capital Markets & Securities Laws

The functioning of Capital markets in India and its working constitute Part A of the Paper- Capital markets.Securities Law relate to the rules and regulations and legislation that govern the entities that are listed on Stock Exchanges in India.Securities law is one of the core areas of practice and expertise for a Company Secretary. At this level you will be studying various provisions under the Securities Law, its rules and regulations such as Securities Contracts (Regulations) Act 1956, SEBI-Listing Regulations, issue of Capital and Disclosure Requirements, Insider Trading etc. Expert level knowledge in this subject is expected to apply the legal provisions and solve case studies.

Exam Information

Duration:         3 hours

Weightage:         100 Marks

Faculty
Harish

CS Harish V K

Resources
Question Paper June 2018
Question Paper June 2019

Capital Markets & Securities Laws

1 Overview of Capital Market

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2 Capital Market Instruments

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3 Credit Rating and IPO Grading

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4 Market Infrastructure Institutions - Stock Exchange Trading Mechanism

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5 Debt Market

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6 Money Market

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7 Mutual Funds

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8 Venture Capital

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9 Collective Investment Schemes

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10 Resource Mobilization in International Capital Market

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11 Indian Depository Receipts

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12 Foreign Portfolio Investors

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13 Non-Convertible Redeemable Preference Shares

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14 Real Estate Investment Trusts

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15 Infrastructure Investment Trusts

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16 Regulatory Framework Governing Stock Exchanges

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17 Securities and Exchange Board of India

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18 Depositories

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19 Listing and Delisting of Securities

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20 Issue of Securities

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21 Regulatory Framework relating to Securities Market Intermediaries

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22 Insider Trading- An overview

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23 Takeover Code- An Overview

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24 Investor Protection

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