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Why should one take this course?

  • To understand the statutes pertaining to the securities market.
  • To learn about the rules, regulations, and bye-laws of the exchanges.
  • To understand the SEBI guidelines.

Who will benefit from this course?

  • Compliance Officers
  • Students of Law colleges
  • Candidates interested in making their career as compliance officers/legal officers in the securities market

Compliance Officers (Brokers)  Syllabus

 

The Securities and Exchange Board of India Act, 1992 …………… 10 Marks

Definitions, Establishment of SEBI, Powers, and functions of the Board, Penalties and adjudication, Establishment, jurisdiction, authority, and procedure of appellate tribunal.

The Securities Contract (Regulations) Act, 1956 …………………… 10 Marks

The Securities Contract (Regulation) Rules, 1957 …………………….…..…. 10Marks

Definitions, Contracts between members of recognized stock exchange, SEBI nominees on the governing bodies of recognized stock exchange, Obligation of the governing body to take disciplinary action against a member if so directed by SEBI, Books of account and other documents to be maintained and preserved by every member of a recognized stock exchange, Audit of accounts of members, manner of inquiry, Withdrawal of recognition, Submission of annual report, periodical returns, manner of publication of bye-laws for criticism, requirements with respect to the listing of securities on a recognized stock exchange, Requirements with respect to the listing of
units or any other instrument of a collective investment scheme on a recognized stock exchange.

SEBI(Stock Brokers and Sub Brokers) Regulations, 1992 .………. 10 Marks

Circulars, Rules, Regulations, and Bye-laws ……………………….… 40 Marks

NSE, NSCCL, SEBI and MoF circulars as enforced from time to time, NSE Rules, Regulations and Byelaws, NSCCL Rules, Regulations and Byelaws

SEBIRegulations……………………………………………………….. 20Marks

SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market)Regulations, 2003, SEBI (Prohibition of Insider Trading) Regulations, 1992, SEBI(Portfolio Managers) Regulations, 1993, SEBI (Underwriters) Regulations, 1993, SEBI
(Ombudsman) Regulations, 2003.