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Why should one take this course?

  • To understand the importance of market surveillance mechanism.
  • To learn the role of surveillance in risk management.
  • To learn the rules and regulations like Anti Money Laundering Act, SEBI (Prohibition of Insider Trading) Regulations etc.”
  • To understand the concept of corporate governance.

Who will benefit from this course?

  • Surveillance staff of the Exchanges and Regulators
  • Compliance officers
  • Students & Teachers
  • Anyone interested in the securities market

Surveillance in Stock Exchanges Syllabus



Importance of surveillance in stock exchanges; Market surveillance mechanism

Basic Investment Mathematics

Return and risk, Fundamental analysis, Financial statement analysis, Cost of capital, Capital structure, Capital budgeting, Time value of money; Market index

Rules and Regulations

Securities Contracts Regulation Act, 1956 and Rules, 1957, Securities and Exchange Board of India Act, 1992, SEBI (Stockbrokers & Sub Brokers) Regulations 1992, SEBI (Prohibition of Insider Trading) Regulations, 1992, SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations 2000, Prevention of Money Laundering Act 2000, Corporate Governance, Code of Ethics

Investigation, Surveillance and Risk Management

Preliminary analysis and investigation, Surveillance activities – online and offline surveillance and rumor verification, Risk containment measures