ICSI CS Executive Paper 6 | Capital Market and 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.

The topics covered in Capital Markets & Securities Laws at CS Executive Level

Overview of Capital Market
Capital Market Instruments and Rating
Securities Market Intermediaries
Debt Market
Money Market
Securities Contracts (Regulations) Act 1956
Securities and Exchange Board of India Act, 1992
SEBI- Issue of Capital and Disclosure Requirements, Listing Obligations and Disclosure Requirement

the best approach to study Capital Markets & Securities Laws paper

It is highly recommended to refer to the Bare Act for studying Law related subjects. The ICSI material is also very helpful as the procedures and rules are given in a systematic order. A combination of studies from the Bare Act and ICSI study material is recommended.
Make short notes of your own
Prepare flowcharts, tables and represent each topic either pointwise or in a illustrative manner. This will help you break complex paragraphs into simple sentences.
Since there have been many amendments in Securities Laws, follow the updates and amendments to keep yourself updated.
Do not skip any topic.
Read about latest business news and developments in companies to quote practical examples in the paper. This will also help you understand concepts better while preparation.

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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Resources

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Resources

Paper 6

Capital Markets & Securities Laws

About Capital Markets & Securities Laws

Duration: 3 hours

Faculty

Resources

Capital Markets & Securities Laws

1 Overview of Capital Market

2 Capital Market Instruments

3 Credit Rating and IPO Grading

4 Market Infrastructure Institutions - Stock Exchange Trading Mechanism

5 Debt Market

6 Money Market

7 Mutual Funds

8 Venture Capital

9 Collective Investment Schemes

10 Resource Mobilization in International Capital Market

11 Indian Depository Receipts

12 Foreign Portfolio Investors

13 Non-Convertible Redeemable Preference Shares

14 Real Estate Investment Trusts

15 Infrastructure Investment Trusts

16 Regulatory Framework Governing Stock Exchanges

17 Securities and Exchange Board of India

18 Depositories

19 Listing and Delisting of Securities

20 Issue of Securities

21 Regulatory Framework relating to Securities Market Intermediaries

22 Insider Trading- An overview

23 Takeover Code- An Overview

24 Investor Protection

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