+123 012 034 056 info@yourmail.com
Select Page

Why should one take this course?

  • To understand the Companies Act, 1956.
  • To know about the provisions of the listing agreement.
  • To know about the Securities Contracts (Regulation) Act, 1956.

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 (Corporates) Syllabus

 

Incorporation of a company, Prospectus, Allotment, and issue of shares,
Share capital and debentures, Management and Administration,
Winding up……………………………………………….27 Marks

Securities Contracts (Regulations) Act, 1956 ……..12 Marks

Definitions, Listing of Securities, Penalties, and procedure, Miscellaneous.

Depositories Act, 1996 ……………………………………11 Marks

Definitions, Rights and obligations of depositories, participants, issuers and beneficial owners, Enquiry and inspection, Penalty, Miscellaneous.

Provisions under Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers )
Regulations, 2011 ……….……………………………4 Marks

Applicability if the regulation, SubstantialAcquisition of Shares, voting rights or control, Open offer process, Other obligations,
Disclosures of shareholding and control, Miscellaneous.

SEBI Issue of Capital and Disclosure Requirements (ICDR) Regulations 2009 …………………………………………….30 Marks

ESOS guidelines as per SEBI (ESOS and ESPS) Guidelines, 2000…………………………………………………………….4 Marks

Compliance with the provisions of the listing agreement………………………………………………………………………………12 Marks

Clause 49 of listing agreement – for Corporate Governance, Clause 41 of listing agreement – for limited information, Clause 36 of listing
agreement – for Disclosure of Material Information. For additional information, kindly look into the clause 16, 35, and 40(A) of the
listing agreement. Compliance with book building guidelines for raising funds through public issue. Knowledge of SEBI guidelines related to raising fund through debt instruments.