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Capital markets and money markets serve as a medium to bring together entrepreneurs and investors. Securities Law deals with the trading of securities and the investor protection. This law mainly encompasses the regulatory framework and complements the Company Law which is intended to provide guidance for the corporate governance. With internationalization of securities trading, investors can easily move from one capital market to another in search of most attractive avenues. These cross-border transactions in securities raise more complex legal issues and need to be addressed within legal and regulatory frameworks.
The PG Diploma Program in Securities Law is designed in this context to cater to the needs of company managers, law practitioners, stock market professionals, legal advisers and investors.
Program Structure
The program covers all the important topics related to Securities Law in two groups. The structure of the program is given below:
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Group/Part |
Subjects |
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Group A |
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Part I |
Introduction to Securities Law |
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Part II |
Issue of Securities - Procedure and Regulations |
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Group B |
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Part III |
Trading of Securities & Regulatory Authorities |
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Part IV |
Emerging Issues and Concepts |
Outline Curriculum
Given below is the outline curriculum of PG Diploma Program in Securities Law. This curriculum may be modified, revised, altered, deleted or added from time to time depending upon the latest emerging trends in the requisite areas of study.
Group A
Part I: Introduction to Securities Law
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Origin, Growth and Features of Securities Markets
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Definition and Kinds of Securities
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Evolution of securities law in India
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Securities and Exchange Board of India Act, 1992, Securities Contracts (Regulation) Act, 1956, Companies Act, 1956, Depositories Act, 1996, etc.
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Regulatory authorities - SEBI, RBI
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Modes of raising capital
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Share capital, Nature and Kinds of shares
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Evolution of Stock Exchanges
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Stock Exchanges In India – National Stock Exchange, Bombay Stock Exchange, Regional Stock Exchanges, OTCEI and Inter-Connected Stock Exchanges in India.
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Primary and Secondary Market Intermediaries
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Regulations Governing Intermediaries
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Types, Schemes and Regulation of Mutual Funds
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Legal Framework of Venture Capital
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Foreign Venture Capital Investors
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Comparative study of Securities Markets in India and Abroad.
Part II: Issue of Securities - Procedure and Regulations
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Listing of Securities – Legal Provisions
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SEBI (Disclosure and Investor Protection) Guidelines, 2000
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Definition, Registration and Contents of Prospectus, Offer for Sale/Deemed Prospectus and Letter of Offer
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Public Issue – Meaning and Procedure
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Procedure for Issue of Right Shares
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Preferential Issue and Issue of Bonus Shares
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Firm Allotment and Reservation
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Issue of Securities through Book Building Process
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Online offer of Securities
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General Principles and Statutory provisions regarding allotment of shares
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Issue, conversion and Redemption of Debentures: Bonds
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Pre-Issue and Post Issue obligations
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Buyback, transfer and transmission of shares
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Good and bad deliveries in stock exchanges
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Issue of sweat equity shares, Employees Stock Option and Purchasing Schemes.
Group B
Part III: Trading of Securities & Regulatory Authorities
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Trading of Securities - NSE, BSE, OTCEI, Regional Stock Exchanges and Inter – Connected Stock Exchanges
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Internet and Online based Securities Trading
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Securities and Exchange Board of India
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Depositories
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Regulations governing Depositories
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Establishment of Securities Appellate Tribunal (SAT) – Rules and Procedure
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Meaning of Insider Trading and Prohibition of Insider Trading
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Company Law Provisions Governing Take-over of Companies
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Take-over of a Sick Industrial Company under the Rehabilitation Scheme
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SEBI Regulations for Substantial Acquisitions and Take-over Grievances of an Investor
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Redressal Mechanism–Redressal authorities and Regulatory Measures
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Investor Education guide
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An International Perspective of Securities Law
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Comparative study of Regulatory Authorities in India and abroad.
Part IV: Emerging Issues and Concepts
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Corporate Governance
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Credit Rating and Credit Rating Agencies viz. CRISIL, ICRA and CARE
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Stock Invest Scheme and Securities Lending Scheme
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Collective Investment Scheme
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Reserve Bank of India Guidelines regarding Foreign Investment
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Foreign Institutional Investors – Conditions and Restrictions
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SEBI Regulations and Norms governing Custodians
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Types of Derivatives and Derivative Participants
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Derivatives trading in India
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Euro issues
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Issue of Foreign Currency Convertible Bonds
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Global Depository Receipt (GDR) and American Depository Receipt (ADR)
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Securities and Cyber Law
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Taxation and Securities.
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©
2005-08 The ICFAI University, Dehradun. All rights reserved. Contact
The ICFAI University, Dehradun
for further information. |
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