Paper 6 :

Securities Laws and Capital Markets

Securities Laws and Capital Markets

01   Securities Contracts (Regulations) Act, 1956

 

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03   Depositories Act, 1996

 

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05   An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

 

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07  SEBI (Buy-Back of Securities) Regulations, 1998

 

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09   SEBI (Share Based Employee Benefits) Regulations, 2014 – An Overview

 

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11   SEBI (Prohibition of Insider Trading) Regulations, 2015

 

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13  Collective Investment Schemes

 

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15   Structure of Capital Market

 

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02   Securities and Exchange Board of India Act, 1992

 

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04   An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009

 

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06   An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011

 

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08   SEBI (Delisting of Equity Shares) Regulations, 2009

 

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10   SEBI (Issue of Sweat Equity) Regulations, 2002 – An Overview

 

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12   Mutual Funds

 

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14   SEBI (Ombudsman) Regulations, 2003

 

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16    Securities Market Intermediaries

 

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About Securities Laws and Capital Markets

 

Securities Laws relate to the rules and regulations and legislation that govern the entities that are listed on Stock Exchanges in India. The functioning of Capital markets in India and its working constitute Part B of the Paper- Capital markets.

Securities law is one among 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 Securities Laws & Capital Markets at CS Executive Level 

  • Securities Contracts (Regulations) Act 1956 
  • Securities and Exchange Board of India Act, 1992 
  • SEBI- Issue of Capital and Disclosure RequirementsListing Obligations and Disclosure Requirements 
  • Consolidation of Accounts as per Companies Act, 2013 
  • Cash Flow Statements 
  • Case Studies and Practical issues 
  • Cost Accounting 
  • Budgetary control 
  • Management Reporting 
  • Ratio Analysis 
  • Valuation of Shares and methods of valuation 

The best approach to study Securities Laws & Capital Markets 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 an illustrative manner. This will help you break complex paragraphs into simple sentences 
  • Since there will be 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 during preparation 

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