• Sahara vs Sebi Case
    meanwhile, SEBI i.e. Securities and Exchange Board of India, in Nov 2010, had restrained the above two companies from raising funds in the form of Optionally Fully Convertible Debentures (OFCD), against which in Dec 2010, Sahara got SEBI order stayed in Allahabad High Court. In Jan 2011, SEBI issued advertisements...
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  • Insider Trading
    comprehensively deals with the different implications of the insider trading as well as the efficacy of the existing regulatory mechanism in place in the shape of SEBI (Prevention of Insider Trading) Regulation Act, 1992 to deal with this problem. The project has mainly focused on insider trading from Indian perspective...
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  • Regulatory bodies of India
    Members: Secretary, Department of Economic Affairs Secretary, Department of Financial Services Chief Economic Advisor, MoF Chairman, SEBI Chairman, IRDA Chairman, PFRDA Secretary of Council: Joint Secretary (Capital Markets), Department of Economic Affairs Responsibilities...
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  • Fiis - Regulations and Impact on India
    with the Securities and Exchange Board of India (SEBI). They need to comply with the provisions of the Guidelines for Foreign Institutional Investors and the Securities and Exchange Board of India (Foreign Institutional Investors) Regulations, 1995 (the "SEBI Regulations"). The majority of the foreign...
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  • Nanotechnology
    released their report on the Financial Sector Stability Assessment for India. The Reserve Bank of India (RBI), the Securities and Exchange Board of India (SEBI) and the Insurance Regulatory and Development Authority (IRDA) welcome the comprehensive review of the Indian financial system by the joint IMF-World...
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  • Mutual Fund
    first private sector mutual fund registered in July 1993. The 1993 SEBI (Mutual Fund) Regulations were substituted by a more comprehensive and revised Mutual Fund Regulations in 1996. The industry now functions under the SEBI (Mutual Fund) Regulations 1996. The number of mutual fund houses went...
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  • Irda vs Sebi
    Controversies between SEBI & IRDA Flow of the presentation: * Reason of the dispute * Role & concepts of SEBI IRDA ULIP Mutual Fund * Difference between Mutual funds & ULIP * Complete story * Effects of dispute * news updates * opinion Presented...
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  • Sebi
    * CHAPTER III (Transfer Of Assets, Liabilities, etc., Of The Existing Securities And Exchange Board To The Board)   * CHAPTER IV (Powers And Functions Of The Board)   * CHAPTER V (Registration Certificate)   * CHAPTER VA (Prohibition Of Manipulative And Deceptive Devices, Insider Trading And...
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  • Corporate Finance in India- a Critical Review
    by a committee chaired by Rahul Bajaj, a leading industrial magnate. The committee was formed in 1996 and submitted its code in April 1998. Later the SEBI constituted two committees to look into the issue of corporate governance--the first chaired by Kumar Mangalam Birla, another leading industrial magnate...
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  • Human Resource Management
    FUTURE CREDENTIALS - Test Series for SEBI Chapter 1 & 2 Genesis and Development of Securities Market & Reforms Shorts Notes On: 1. Functions of a good financial system. 2. Financial Market. 3. Market Participants 4. SEBI Act 1992 (Board, Power, functions) 5. Organizational Structure of financial system...
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  • Financial Institutions and Market
    transactions, agents, practices, claims and liabilities in a economy What is the financial system concerned with?  Money  Credit  Services  finance Functions of Financial system  Financial Institutions- act as mobilisers and depositories of saving and as the custodian of finance.  Provides various financial...
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  • Introduction to Mf
    investors to invest in the equity market.  The Unit Trust of India has nearly 35, 000 agents in the country.  The Securities Exchange Board of India (SEBI) regulates the functioning of the mutual funds.  The Mutual funds should be set up as trusts under the guidelines of the Indian Trusts Act.  Activity...
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  • Sebi Act of 1992
    SEBI ACT & THE ROLE OF SEBI IN THE STOCK MARKETS Sr no. | Topic | Pg no. | | | | 1. | ACKNOWLEDGEMENTS | 2 | 2. | APPLICATION SUPPORTED BY BLOCKED AMOUNTS | 3 | 3. | COMPOUNDING OF OFFENCES | 8 | 4. | DISCLOSURE REQUIREMENTS | 13 | 5. | CLAUSE 49 | 18 | 6. | SEBI &...
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  • Project
    2000-2001 PART III FUNCTIONS OF SEBI IN RESPECT OF MATTERS SPECIFIED IN SECTION 11 OF THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992 A] REGULATION OF BUSINESS IN THE STOCK EXCHANGES The SEBI has been inspecting all the stock exchanges once every year since 1995-96 under the SEBI Act, 1992. However...
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  • Investment Banking
    INTRODUCTION At a very macro level, ‘Investment Banking’ as term suggests, is concerned with the primary function of assisting the capital market in its function of capital intermediation, i.e., the movement of financial resources from those who have them (the Investors), to those who...
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  • Gghjgh
    increasing investor protection, several measures were enacted to improve the fairness of the capital market. The Securities and Exchange Board of India (SEBI) was established in 1988. De- spite the rules it set, problems continued to exist, including those relating to disclosure criteria, lack of broker...
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  • Transport Policy
    CHAIRMAN AND MEMBERS OF THE SEBI BOARD* Shri G. N. BAJPAI Chairman Shri Vinod Dhall Secretary Department of Company Affairs Ministry of Finance Government of India Shri G. P. Muniappan Deputy Governor Reserve Bank of India Shri Dhirendra Swarup Additional Secretary Department of Economic...
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  • Credit Risk Management
    Act, 1992 .............................................. 50 SEBI (Stock Brokers & Sub-brokers) Regulations, 1992....................................... 54 SEBI Issue of Capital and Disclosure Requirements (ICDR) Regulations 2009 ......... 63 SEBI (Prohibition of Insider Trading) Regulations, 1992 ........
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  • Capital Market of India
    different liquidity preferences to participate in the market. The capital market operations are regulated by the Securities and Exchange Board of India [SEBI] Primary Market The primary market provides a channel for sale of new securities. This market provides opportunity to issuers of securities, the...
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  • Mutual Funds
    the first private sector mutual fund registered in July 1993. The 1993 SEBI (Mutual Fund) Regulations were substituted by a more comprehensive and revised Mutual Fund Regulations in 1996. The industry now functions under the SEBI (Mutual Fund) Regulations 1996. The number of mutual fund houses went...
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