| Securities Markets |
| Security Market Awareness Syllabus |
Topic Completed |
| 1. Indian Financial system - introduction - structure - finance commission - financial administration - receipts of the Government - Expenditures of the Government. |
Indian Financial system
1. Video + Notes
Finance Commission of India
1. Video + Notes + Live session |
| 2. Capital markets - primary market - instruments - legal issues and regulations - secondary market – stock exchanges - brokers - trading in stock exchanges - forward trading - stock index - depositories – regulations |
Derivatives
1. Derivatives – 1
2. Derivatives and its Types
3. Forward Contract
4. Forward Contract in India
5. Option Contracts
6. Option Greeks
7. Option and pricing Black Scholes Model
8. Swaps
Mutual Funds:
1. Financial Term: Mutual Fund
2. Concepts, structure and Types
3. Mutual funds offer documents
4. Mutual: funds total expense ratio
5. LTGC on Mutual funds
6. Categorization and rationalization of funds
Stock exchange in India
1. Video + quiz |
| 3. Bond Market- Money market, G.sec Market, Corporate bond market, Bond valuation, Duration, sensitivity, risk |
Bond Market
1. Bond Features and Types
2. Bond Valuation: Present values and Annuity.
3. Bond Valuation: Yield to Maturity
Risk Management
1. Types of Risks faced by banks
2. NPA's and Sarfaesi Act, 2002 + Notes |
| 4. Foreign Exchange market - exchange control - fixation of exchange rate - exchange control in India - FEMA - foreign exchange transactions of commercial banks in India - currency convertibility – currency forwards, futures and options - trading in foreign exchange market - relationship between money market and foreign exchange market.. |
FEMA Act, 1999 and 2000
1. FEMA Act,2000 Important Definitions
2. FEMA Act, 1999
3. Recent Amendments In FDI Policy
4. History of Forex Market |
| 5. Commodity market, commodity trading and exchanges |
Commodity Market
1. Commodity Market in India |
| 6. International capital markets - instruments - Guidelines - foreign investment in India and its regulations. |
International Capital Market
1. Depositories Receipts |
| Securities Law: |
| 1. Relationship between Company Law and securities law |
Covered in basic videos of SEBI ICDR and Listing agreement |
| 2. Basic concepts related to securities law, like capital, public offer and securities |
Covered in basic videos of SEBI ICDR and Listing agreement |
| 3. Historical Background of securities law |
Security Law
1. Video + Notes |
| 4. SEBI as a Market regulator, Powers and Functions of SEBI, Quasi legislative powers, executive powers and quasi-judicial powers |
SEBI
1. Powers and Functions
2. Role of SEBI as a Regulator |
| 5. Regulating the intermediaries and Stock exchanges, Meaning and Type of securities, Securities Contract, Corporatization, Demutualization and regulation of stock exchange, Listing Agreement, Dematerlisation and Rematerlisation |
SEBI Listing Agreement
1. Video + Notes |
| 6. Rights and duties of Depository (NSDL AND CSDL) , Depository Participant, Issuer and beneficiary |
Depositories
1. Video Lecture: Depositories
Various Aspects of Depositories Act, 1996
1. Video + PDF Notes |
| 7. Unpublished Price Sensitive Information(UPSI) , Insider as connected person, Insider as the person having access to UPSI, Trading on the basis of UPSI |
Insider Trading
1. Insider Trading
2. Codes of Fair Disclosure
3. Live session |
| 8. Mergers Amalgamation and takeovers, Types and legal processes during takeover, Substantial Acquisitions, Exemptions by law, Exemption BY SEBI |
Merger, Amalgamation, Takeover
1. Video Lecture + Notes
Substantial Acquisition of shares
1. Substantial Acquisition of shares + Notes |
| 9. Public offer and disclosure requirements |
SEBI LODR Regulation
1. Video + Notes |
| 10. Unfair Trade Practices in the securities market, Securities Market offences, Prohibition of Insider Trading |
Insider Trading
1. Insider Trading
2. Codes of Fair Disclosure
3. Live session |
| 11.SEBI ICDR Regulations |
SEBI ICDR Law:
1. ICDR-1
2. IPO(Initial Public Offering)
3. ICDR - 2
4. SEBI - ICDR Public issues provisions. |
| 12. Public Offer requirements |
SEBI ICDR Law:
1. ICDR-1
2. IPO(Initial Public Offering)
3. ICDR - 2
4. SEBI - ICDR Public issues provisions. |
| 13. Role of SEBI as a Regulator |
1. Role of SEBI as a Regulator |
| 14. Securities Appellate Tribunal |
Securities Appellate Tribunal
1. Security Appellate Tribunal |
| 15. Role of Courts in enforcing securities regulations |
Securities Appellate Tribunal
1. Security Appellate Tribunal |
