Paper 6 :

Capital Markets & Securities Laws

Capital Markets & Securities Laws

Part A: Capital Market
01    Overview of Capital Market

 

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03   Credit Rating and IPO Grading

 

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05  Debt Market

 

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07  Mutual Funds

 

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09    Collective Investment Schemes

 

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11  Indian Depository Receipts

 

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13   Non-Convertible Redeemable Preference Shares

 

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15     Infrastructure Investment Trusts

 

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02    Capital Market Instruments

 

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04   Market Infrastructure Institutions – Stock Exchange Trading Mechanism

 

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06   Money Market

 

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08   Venture Capital

 

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10    Resource Mobilization in International Capital Market

 

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12    Foreign Portfolio Investors

 

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14   Real Estate Investment Trusts

 

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Part B: Securities Law
16   Regulatory Framework Governing Stock Exchanges

 

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18   Depositories

 

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20   Issue of Securities

 

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22   Insider Trading- An overview

 

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24   Investor Protection

 

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17   Securities and Exchange Board of India

 

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19   Listing and Delisting of Securities

 

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21    Regulatory Framework relating to Securities Market Intermediaries

 

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23   Takeover Code- An Overview

 

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17   Securities and Exchange Board of India

 

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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
CA Rajiv Rabindran

Resources

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