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FINANCIAL
INSTITUTION &
MARKET
BY:-
CONTENTS
Introduction
 History
 Establishment of SEBI
 Organization Structure
 Objectives
 Roles & Power
 Functions
...
SEBI


The Securities and Exchange Board
Of India (SEBI) is the regulator
for the securities market in India.
It was form...
HISTORY:


The Securities and Exchange Board
of India was established by the
government of India on 12 April
1988 as an i...
ESTABLISHMENT OF SEBI
 The

Securities and
Exchange Board of India
was established on
April 12, 1992 in
accordance with t...
Organization Structure





The activities of SEBI have been
divided into 5 operational
departments.
Each department is...
BOARD MEMBERS
Shri U. K. Sinha
Chairman, SEBI,
SEBI Bhavan, Bandra Kurla Complex,
Bandra (E), Mumbai - 400051.

Shri Prash...
Dr. Thomas Mathew
Joint Secretary (Capital Markets),
Department of Economic Affairs,
Ministry of Finance
New Delhi

Shri V...
HEAD OFFICE OF SEBI
o It

is located in Mumbai.
Plot No. – C4 – A, (G)
Block,
Bndra Kurla Complex,
Bandra
( East ) Mumbai ...
BRANCH OFFICES
North – New Delhi &
Chandigarh.
South – Chennai, Bengaluru,
Hyderabad &
Kochi.
East – Kolkata, Guwahati,
Bh...
Objectives Of SEBI :INVESTOR
PROTECTION

CHECKING FOR
INSIDER
TRADING

REGULATION
OF STOCK
MARKET.

CONTROL OVER
FINANCIAL...
Roles &Power
 Specifying

rules and
regulations.
 Providing license to dealers
& brokers.
 Controlling merging ,
acquis...
Function of SEBI


SEBI is expected to regulate the business in
stock exchanges and any other securities
market.



Regi...
Continued …
Promoting investors education &
training of intermediaries in
securities market.
 Prohibiting insiders tradin...
REVIEW OF SEBI
Disclosures

Settlement
Badla

Trade
Special Watch
Single Authority
Stricker Registration
of Brokers
CONTINUED . . .
 Disclosures

: - SEBI enforces strict laws

on disclosures. SEBI checks and ensures to
the Stock Exchang...
Continued . . .
 BADLA TRADE : - It is the transfer of
trading from one person to another. If one person
does’nt have Fun...
CONTINUED . . .


SINGLE AUTHORITY : - SEBI is the single
authority, it is the regulating authority in market,
i.e. no ot...
ROLE OF SEBI IN INDIAN
ECONOMY
 SEBI

is the primary
governing / regulating body
for the securities market in
India. All ...
PREAMBLE


The Preamble of the Securities and
Exchange Board of India describes
the basic functions of the Securities
and...
Mission of SEBI
 Securities & Exchange Board of India
(SEBI) formed under the SEBI Act, 1992 with
the prime objective of
...
THANK YOU
Queries Are
Welcome !!!
Queries are
Welcome !!!
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PPt On SEBI. bY Siddhant Kumar Behera

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Security and exchange board of India.
By - Siddhant Kumar Behera

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Transcript of "PPt On SEBI. bY Siddhant Kumar Behera"

  1. 1. FINANCIAL INSTITUTION & MARKET
  2. 2. BY:-
  3. 3. CONTENTS Introduction  History  Establishment of SEBI  Organization Structure  Objectives  Roles & Power  Functions  Reviews of SEBI  SEBI role in Indian Economy  Preamble & Mission 
  4. 4. SEBI  The Securities and Exchange Board Of India (SEBI) is the regulator for the securities market in India. It was formed officially by the government of India in 1992 with SEBI Act 1992 being passed by the Indian Parliament.
  5. 5. HISTORY:  The Securities and Exchange Board of India was established by the government of India on 12 April 1988 as an interim administrative body to promote orderly and healthy growth of the securities market and for investor protection.  It was to function under the overall administrative control of the Ministry of Finance of the
  6. 6. ESTABLISHMENT OF SEBI  The Securities and Exchange Board of India was established on April 12, 1992 in accordance with the provisions of the Securities and Exchange Board of India Act, 1992.
  7. 7. Organization Structure    The activities of SEBI have been divided into 5 operational departments. Each department is headed by an Executive Director Apart from its head office at Mumbai SEBI has regional offices in Kolkata, Chennai, Delhi to attend to investor complaints and talk with the issuers, intermediaries and stock exchanges in the concerned region.
  8. 8. BOARD MEMBERS Shri U. K. Sinha Chairman, SEBI, SEBI Bhavan, Bandra Kurla Complex, Bandra (E), Mumbai - 400051. Shri Prashant Saran Whole-Time Member, SEBI, SEBI Bhavan, Bandra Kurla Complex, Bandra (E), Mumbai - 400051. Shri Rajeev Kumar Agarwal Whole-Time Member, SEBI, SEBI Bhavan, Bandra Kurla Complex, Bandra (E), Mumbai - 400051
  9. 9. Dr. Thomas Mathew Joint Secretary (Capital Markets), Department of Economic Affairs, Ministry of Finance New Delhi Shri V. K. Jairath 194 B Kalpatru Horizon, S.K. Ahire Marg, Worli, Mumbai 400018 Shri Anand Sinha Deputy Governor Reserve Bank of India Shri Naved Masood Secretary, Ministry of Corporate Affairs
  10. 10. HEAD OFFICE OF SEBI o It is located in Mumbai. Plot No. – C4 – A, (G) Block, Bndra Kurla Complex, Bandra ( East ) Mumbai 400051 Tel - + 91- 22- 2644900
  11. 11. BRANCH OFFICES North – New Delhi & Chandigarh. South – Chennai, Bengaluru, Hyderabad & Kochi. East – Kolkata, Guwahati, Bhubneshwar & Patna.
  12. 12. Objectives Of SEBI :INVESTOR PROTECTION CHECKING FOR INSIDER TRADING REGULATION OF STOCK MARKET. CONTROL OVER FINANCIAL INTERMEDIATE.
  13. 13. Roles &Power  Specifying rules and regulations.  Providing license to dealers & brokers.  Controlling merging , acquisitions & take over.  Auditing the performance of stock exchanges.  Stopping fraudulent
  14. 14. Function of SEBI  SEBI is expected to regulate the business in stock exchanges and any other securities market.  Registering and regulating the working of collective investment schemes, including mutual funds is a responsibility of SEBI.  SEBI is responsible for prohibiting fraudulent and unfair trade practices relating to securities markets.  Prohibiting insider trading in securities, with the imposition of monetary penalties, on erring market intermediaries.
  15. 15. Continued … Promoting investors education & training of intermediaries in securities market.  Prohibiting insiders trading in securities.  Regulating substantial acauisition of shares & take 0ver of companies.  Calling for information, undertaking inspection, conducting enquiries & audits of 
  16. 16. REVIEW OF SEBI Disclosures Settlement Badla Trade Special Watch Single Authority Stricker Registration of Brokers
  17. 17. CONTINUED . . .  Disclosures : - SEBI enforces strict laws on disclosures. SEBI checks and ensures to the Stock Exchange that weather all the companies have given their unaudited financial reports & balance sheets to the Stock Exchange or not.  Settlement : - SEBI takes care of the settlement. NSCCL (National Securities Clearing Corporation Limited) & it has the responsibility of settlement. It acts as buyer to every seller, and seller to every buyer, it deals with funds and securities pay in and pay out.
  18. 18. Continued . . .  BADLA TRADE : - It is the transfer of trading from one person to another. If one person does’nt have Funds/ Securities, he can ask any other person to trade on behalf of him and he pays the person later.  Special watch : - SEBI has a special watch on huge investoes like banks, companies and foreign investors so that transparency between all the companies & investors is maintained.
  19. 19. CONTINUED . . .  SINGLE AUTHORITY : - SEBI is the single authority, it is the regulating authority in market, i.e. no other authority can supervise over it. It makes rules, laws for the different market’s that it looks after.  STRICKER REGISTRATION OF BROKER : - The brokers needs to be registered with SEBI and clear the certification modules in order to be eligible to trade as a broker, if not, strict action is taken against the brokers, he could also be suspended.
  20. 20. ROLE OF SEBI IN INDIAN ECONOMY  SEBI is the primary governing / regulating body for the securities market in India. All transactions in the securities market in India are governed, looked after & regulated by SEBI.
  21. 21. PREAMBLE  The Preamble of the Securities and Exchange Board of India describes the basic functions of the Securities and Exchange Board of India as  "...to protect the interests of investors in securities and to promote the development of, and to regulate the securities market and for matters connected therewith or incidental thereto"
  22. 22. Mission of SEBI  Securities & Exchange Board of India (SEBI) formed under the SEBI Act, 1992 with the prime objective of ◦ Protecting the interests of investors in securities, ◦ Promoting the development of, and ◦ Regulating, the securities market and for matters connected therewith or incidental thereto.’ NOTE: Focus being the greater investor protection, SEBI has become a
  23. 23. THANK YOU
  24. 24. Queries Are Welcome !!! Queries are Welcome !!!
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