Certificate Program on Securities Laws
Basic Info : Course on Securities Laws Level : Advance Commitment : 36 hours of study, 8 Days, 6 sessions of 6 hours Language : English How To Pass : Attend all sessions and complete all assignments to pass the course
What Will I Learn
At the end of this course you will:
- Be able to identify and execute the procedures necessary for public issues, rights issues, and preferential issues
- Understand SEBI's operation and role as the primary capital market regulator
- Be able to draft prospectus and offering documents in cases of public offering of securities by a company
- Understand the role of lawyers, accountants, analysts, investment bankers, rating agencies and financial intermediaries in various capital raising modes
SESSION 1 SESSION 2 SESSION 3 SESSION 4 SESSION 5 SESSION 6
- • Introduction to Capital Markets, Role of Primary and Secondary markets
- • Concept of Corporatization and Demutualization, Recognition of Stock Exchanges
- • Rules & Bye Laws of Stock Exchanges, Contracts and Options in Securities
- • Offences and Penalties and procedures thereof, Appeals under SCRA, Misc Provisions
- • Introduction to SEBI, Definitions, Constitution of the Board and its Management
- • Powers and Functions of the Board, Collective Investment Schemes, Investigations by Board
- • Registration of Intermediaries, Prohibition of Insider Trading, Penalties and Adjudication
- • Securities Appellate Tribunal (SAT), Appeals to Supreme Court
- • SEBI (Issue of Capital and Disclosure Requirements) 2009
- • Salient features on Regulations on Takeover code
- • Salient features of Regulations on Insider Trading
- • Types of Financial Statements, Stakeholders in Business Organizations
- • Fixed Assets, Tangible and Intangible Assets, Depreciation and Amortization, Legal Provisions, Operating Cycle, Management of Current Assets, Current Liabilities
- • Working Capital Reporting requirements of Financial Statements, Indian Accounting Standards (IAS), Provisions of Schedule III of Companies Act 2013, Financial Ratios
- • Regulations relating to Foreign Direct Investments and Portfolio Investment
- • Regulations relating to Imports, Exports and Miscellaneous remittances from India
- • Regulations relating to Overseas Investments by Indian Companies, Project Exports
- • Concept of Money Laundering and the offence of Money Laundering
- • Attachment, Adjudication and Confiscation under Prevention of Money Laundering Act
- • Obligations of Banking Companies, Financial Institutions and Intermediaries under PMLA
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