Paper 6 :

Capital Markets & Securities Laws

Capital Markets & Securities Laws

Part A: Capital Market

01    Overview of Capital Market

 

 1 Lecture                 Know More

02    Capital Market Instruments

 

 2 Lectures        Know More

05  Debt Market

 

1 Lecture                Know More

06   Money Market

 

 1  Lecture         Know More

03   Credit Rating and IPO Grading

 

1 Lecture                 Know More

04   Market Infrastructure Institutions – Stock Exchange Trading Mechanism

 

 2  Lectures        Know More

07  Mutual Funds

 

2 Lectures                Know More

08   Venture Capital

 

 1  Lecture         Know More

09    Collective Investment Schemes

 

 1 Lecture                 Know More

10    Resource Mobilization in International Capital Market

 

 1  Lecture         Know More

11  Indian Depository Receipts

 

 1 Lecture                 Know More

12    Foreign Portfolio Investors

 

 1  Lecture         Know More

13   Non-Convertible Redeemable Preference Shares

 

 1 Lecture                 Know More

14   Real Estate Investment Trusts

 

 1  Lecture         Know More

15     Infrastructure Investment Trusts

 

 1 Lecture                 Know More

Part B: Securities Law

16   Regulatory Framework Governing Stock Exchanges

 

 2  Lectures                Know More

17   Securities and Exchange Board of India

 

1 Lecture         Know More

18   Depositories

 

 1 Lecture                 Know More

19   Listing and Delisting of Securities

 

2 Lectures        Know More

20   Issue of Securities

 

 4 Lectures                Know More

21    Regulatory Framework relating to Securities Market Intermediaries

 

3 Lectures        Know More

22   Insider Trading- An overview

 

 1 Lecture                Know More

23   Takeover Code- An Overview

 

2 Lectures        Know More

24   Investor Protection

 

 1 Lecture                 Know More

17   Securities and Exchange Board of India

 

3 Lectures        Know More

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 RequirementsListing 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.

Faculty

CS Harish V K
CS Harish V K
CA Rajiv Rabindran