Master of Business Laws II

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Master of Business Laws II

• INVESTMENT LAWS
• by Prof. S. Krishnaswamy

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Investment Laws

• Laws and Rules relating to Investment Law
• Securities Contracts Regulation Act 1956
• Securities Contracts Regulation Rules
• SEBI Act 1992
• SEBI Regulation
• Depositories Act
• Companies Act 1956
• Securitisation and Reconstruction of Financial
  Assets and Enforcement of Security Investment Act
  2002 (SARFESI)

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Constitution of Capital Market

• Institutions
• Intermediaries
• Investors
• Instruments
• IPOs
• Indexes
• Investors Protection
• Invigilator
• Infringement Penalties
• Information System

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Intermediaries - Market
Participants

• Securities Appellate Tribunal
• Regulators
• Depositories
• Stock Exchanges
• With Equities Trading
• With Debt Market Segment
• With Derivative Trading

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Intermediaries

• Brokers
• Corporate Brokers
• Sub Brokers
• FIIs
• Portfolio Managers
• Custodians
• Share Transfers Agents
• Primary Dealers
• Merchant Bankers

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Intermediaries

• Bankers to an Issue
• Debenture Trustees
• Underwriters
• Venture Capital Funds
• Foreign Venture Capital Investors
• Mutual Funds
• Collective Investments Schemes

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Institutions

• Stock Exchanges Credit Rating Venture Capital
  Depositories Mutual Funds
• Stock Exchanges(22)
• Recognition SCRA / SEBI
• Bye Laws / Market Infrastructure
• Listing Agreement
• Constitution / Demutualisation
• Payment and Settlement System
• Regional Stock Exchanges Future
• Case Study
• (i) Coimbature Stock Exchange
• (ii) Paper on Future of Regional SEs
• Stock Exchange Post Demutualisation

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Venture Capital funds Foreign Venture Capital
Investors (53)

• SEBI (Venture Capital funds) Regulation Act 1881
• Income Act Sec 10(23F) / 10(23FA) / 10(23FB)
• A Trust Recognized under the Restoration Act
• VCU Domestic Unlisted Company

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Institutions

• CUSTODIAN(11)
• (SEBI Custodian Securities Regulation1996)
• In the form of a Company/Capital adequacy
• SEBI Registered Services Rendered

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Mutual Funds

• SEBI (Mutual Fund) Regulation Act 1996
• AMFI
• Design and Structure of Mutual Funds
• Investment Restrictions
• Disclosure
• Code of Conduct
• Index Funds
• Exchange Traded Funds

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Instruments

• Equity
• Preference
• Debentures
• Derivatives
• Index Futures
• Stock Futures
• Options
• Index Options
• Stock Options

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Indexes

• Sensex (Bombay)
• Sectoral
• SP CNX Petrochemicals Index
• SP CNX Finance Index
• SP CNX FMCG Index
• SP CNX Pharmaceuticals Index and
• SP CNX IT Index
• SP CNX Nifty Index

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Indexes

• Various Indices of NSC
• SP CNX Nifty
• SP CNX 500
• SP CNX Defty
• CNX Nifty junior
• CNX Midcap
• CNX IT Index
• SP CNX Banks

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Investors

• Promoters Indian Foreign
• Acting in Concert
• Non Promoters Institutional
• Mutual Funds
• Banks, Financial Institutions
• Insurance Companies
• Foreign Institutional Investors
• Others
• Private corporate Bodies-PEs
• Indian Public
• NRIs/OCBs
• Trusts
• Equity Shares Undertakings ADS

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Invigilator - SEBI

• Powers
• Objectives
• Regulations