Master of Business Laws II <ul><li>INVESTMENT LAWS </li></ul><ul><li>by Prof. S. Krishnaswamy </li></ul>
Investment Laws <ul><li>Laws and Rules relating to Investment Law: </li></ul><ul><li>Securities Contracts Regulation Act 1...
Constitution of Capital Market <ul><li>Institutions </li></ul><ul><li>Intermediaries </li></ul><ul><li>Investors </li></ul...
Intermediaries - Market  Participants <ul><li>Securities Appellate Tribunal </li></ul><ul><li>Regulators </li></ul><ul><li...
Intermediaries <ul><li>Brokers </li></ul><ul><li>Corporate Brokers </li></ul><ul><li>Sub – Brokers </li></ul><ul><li>FIIs ...
Intermediaries <ul><li>Bankers to an Issue </li></ul><ul><li>Debenture Trustees </li></ul><ul><li>Underwriters </li></ul><...
Institutions: <ul><li>Stock Exchanges Credit Rating: Venture Capital   Depositories Mutual Funds </li></ul><ul><li>Stock E...
Venture Capital funds & Foreign Venture Capital Investors (53) <ul><li>SEBI (Venture Capital funds) Regulation Act 1881 </...
Institutions <ul><li>CUSTODIAN(11) </li></ul><ul><li>(SEBI Custodian Securities Regulation1996) </li></ul><ul><li>In the f...
Mutual Funds <ul><li>SEBI (Mutual Fund) Regulation Act 1996 </li></ul><ul><li>AMFI </li></ul><ul><li>Design and Structure ...
Instruments <ul><li>Equity </li></ul><ul><li>Preference </li></ul><ul><li>Debentures </li></ul><ul><li>Derivatives </li></...
Indexes <ul><li>Sensex – (Bombay) </li></ul><ul><li>Sectoral </li></ul><ul><li>S&P CNX Petrochemicals Index </li></ul><ul>...
Indexes <ul><li>Various Indices of NSC </li></ul><ul><li>S&P CNX Nifty </li></ul><ul><li>S&P CNX 500 </li></ul><ul><li>S&P...
Investors <ul><li>Promoters – Indian – Foreign </li></ul><ul><li>Acting in Concert </li></ul><ul><li>Non Promoters – Insti...
Invigilator - SEBI <ul><li>Powers  </li></ul><ul><li>Objectives </li></ul><ul><li>Regulations </li></ul>
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Master of Business Laws II

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Master of Business Laws II

  1. 1. Master of Business Laws II <ul><li>INVESTMENT LAWS </li></ul><ul><li>by Prof. S. Krishnaswamy </li></ul>
  2. 2. Investment Laws <ul><li>Laws and Rules relating to Investment Law: </li></ul><ul><li>Securities Contracts Regulation Act 1956 </li></ul><ul><li>Securities Contracts Regulation Rules </li></ul><ul><li>SEBI Act 1992 </li></ul><ul><li>SEBI Regulation </li></ul><ul><li>Depositories Act </li></ul><ul><li>Companies Act 1956 </li></ul><ul><li>Securitisation and Reconstruction of Financial Assets and Enforcement of Security Investment Act 2002 (SARFESI) </li></ul>
  3. 3. Constitution of Capital Market <ul><li>Institutions </li></ul><ul><li>Intermediaries </li></ul><ul><li>Investors </li></ul><ul><li>Instruments </li></ul><ul><li>IPOs </li></ul><ul><li>Indexes </li></ul><ul><li>Investors Protection </li></ul><ul><li>Invigilator </li></ul><ul><li>Infringement Penalties </li></ul><ul><li>Information System </li></ul>
  4. 4. Intermediaries - Market Participants <ul><li>Securities Appellate Tribunal </li></ul><ul><li>Regulators </li></ul><ul><li>Depositories </li></ul><ul><li>Stock Exchanges </li></ul><ul><li>With Equities Trading </li></ul><ul><li>With Debt Market Segment </li></ul><ul><li>With Derivative Trading </li></ul>
  5. 5. Intermediaries <ul><li>Brokers </li></ul><ul><li>Corporate Brokers </li></ul><ul><li>Sub – Brokers </li></ul><ul><li>FIIs </li></ul><ul><li>Portfolio Managers </li></ul><ul><li>Custodians </li></ul><ul><li>Share Transfers Agents </li></ul><ul><li>Primary Dealers </li></ul><ul><li>Merchant Bankers </li></ul>
  6. 6. Intermediaries <ul><li>Bankers to an Issue </li></ul><ul><li>Debenture Trustees </li></ul><ul><li>Underwriters </li></ul><ul><li>Venture Capital Funds </li></ul><ul><li>Foreign Venture Capital Investors </li></ul><ul><li>Mutual Funds </li></ul><ul><li>Collective Investments Schemes </li></ul>
  7. 7. Institutions: <ul><li>Stock Exchanges Credit Rating: Venture Capital Depositories Mutual Funds </li></ul><ul><li>Stock Exchanges(22) </li></ul><ul><li>Recognition – SCRA / SEBI </li></ul><ul><li>Bye Laws / Market Infrastructure </li></ul><ul><li>Listing Agreement </li></ul><ul><li>Constitution / Demutualisation </li></ul><ul><li>Payment and Settlement System </li></ul><ul><li>Regional Stock Exchanges Future </li></ul><ul><li>Case Study </li></ul><ul><li> (i) Coimbature Stock Exchange </li></ul><ul><li>(ii) Paper on Future of Regional SEs </li></ul><ul><li>Stock Exchange Post Demutualisation </li></ul>
  8. 8. Venture Capital funds & Foreign Venture Capital Investors (53) <ul><li>SEBI (Venture Capital funds) Regulation Act 1881 </li></ul><ul><li>Income Act Sec 10(23F) / 10(23FA) / 10(23FB) </li></ul><ul><li>A Trust Recognized under the Restoration Act </li></ul><ul><li>VCU – Domestic Unlisted Company </li></ul>
  9. 9. Institutions <ul><li>CUSTODIAN(11) </li></ul><ul><li>(SEBI Custodian Securities Regulation1996) </li></ul><ul><li>In the form of a Company/Capital adequacy </li></ul><ul><li>SEBI Registered & Services Rendered </li></ul>
  10. 10. Mutual Funds <ul><li>SEBI (Mutual Fund) Regulation Act 1996 </li></ul><ul><li>AMFI </li></ul><ul><li>Design and Structure of Mutual Funds </li></ul><ul><li>Investment Restrictions </li></ul><ul><li>Disclosure </li></ul><ul><li>Code of Conduct </li></ul><ul><li>Index Funds </li></ul><ul><li>Exchange Traded Funds </li></ul>
  11. 11. Instruments <ul><li>Equity </li></ul><ul><li>Preference </li></ul><ul><li>Debentures </li></ul><ul><li>Derivatives </li></ul><ul><li>Index Futures </li></ul><ul><li>Stock Futures </li></ul><ul><li>Options </li></ul><ul><li>Index Options </li></ul><ul><li>Stock Options </li></ul>
  12. 12. Indexes <ul><li>Sensex – (Bombay) </li></ul><ul><li>Sectoral </li></ul><ul><li>S&P CNX Petrochemicals Index </li></ul><ul><li>S&P CNX Finance Index </li></ul><ul><li>S&P CNX FMCG Index </li></ul><ul><li>S&P CNX Pharmaceuticals Index and </li></ul><ul><li>S&P CNX IT Index </li></ul><ul><li>S&P CNX Nifty Index </li></ul>
  13. 13. Indexes <ul><li>Various Indices of NSC </li></ul><ul><li>S&P CNX Nifty </li></ul><ul><li>S&P CNX 500 </li></ul><ul><li>S&P CNX Defty </li></ul><ul><li>CNX Nifty junior </li></ul><ul><li>CNX Midcap </li></ul><ul><li>CNX IT Index </li></ul><ul><li>S&P CNX Banks </li></ul>
  14. 14. Investors <ul><li>Promoters – Indian – Foreign </li></ul><ul><li>Acting in Concert </li></ul><ul><li>Non Promoters – Institutional </li></ul><ul><li>Mutual Funds </li></ul><ul><li>Banks, Financial Institutions </li></ul><ul><li>Insurance Companies </li></ul><ul><li>Foreign Institutional Investors </li></ul><ul><li>Others </li></ul><ul><li>Private corporate Bodies-PEs </li></ul><ul><li>Indian Public </li></ul><ul><li>NRI’s/OCB’s </li></ul><ul><li>Trusts </li></ul><ul><li>Equity Shares Undertakings ADS </li></ul>
  15. 15. Invigilator - SEBI <ul><li>Powers </li></ul><ul><li>Objectives </li></ul><ul><li>Regulations </li></ul>

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