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1. AUGUST 2014
Center for Banking Investment & Taxation
DIPLOMA IN FINANCIAL
MARKET & REGULATIONS
{Weekend Mode Regular Program}
GUJARAT NATIONAL LAW UNIVERSITY, GANDHINAGAR
IN COLLABORATION WITH
INDIAN INSTITUTE OF FINANCIAL SERVICES,
AHMEDABAD
Sponsor:
Knowledge Partner:

2. 1 | P a g e
DIPLOMA
IN
FINANCIAL MARKETS & REGULATION
(DFMR)
A Collaborative Program offered jointly by
GUJARAT NATIONAL LAW UNIVERSITY,
GANDHINAGAR
&
INDIAN INSTITUTE OF FINANCIAL SERVICES PVT. LTD.,
AHMEDABAD
GUJARAT NATIONAL LAW UNIVERSITY INDIAN INSTITUTE OF FINANCIAL SERVICES PVT. LTD.
Attalika Avenue, A-712, ATMA House,
Knowledge Corridor, Koba, Opp Old RBI,
Gandhinagar - 382 007 Ashram Road,
Gujarat, India. Ahmedabad-380009,
Phone no.: +91 - 79 – 2327 6611 / 2327 6612 Gujarat, India
Fax no.: +91 - 79 – 2327 6613 Phone no.: +91-79-65214982/97372-33038,
Email : contact@gnlu.ac.in Email: info@iifs.co.in
PROSPECTUS CUM APPLICATION FORM
July 2014
www.gnlu.ac.in

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CONTENTS
 GNLU-A World Class University in Making
 About IIFS
 GNLU & IIFS Collaboration
 IIFS Director’s Message
 DFMR Course Profile
o Course Objectives
o Who Should Take This Course
o Admission and Eligibility Criteria
o Course Structure
o Course Content
o Course Duration and Classes
o Teaching Methodology
o Faculty
o Facilities Available
o Evaluation Scheme
o Fees Structure
o Financial Assistance
o Placement Assistance
 How to Apply
 Contact Address

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GNLU – A World Class University
Gujarat National Law University (GNLU) is the statutory University established
by the Government of Gujarat National Law University Act, 2003. The University is
recognized by the Bar Council of India (BCI) and University Grants Commission
(UGC) (2f & 12b). The University is also member of the Association of Indian
Universities (AIU) and the University is functioning as nodal agency to uplift the legal
education in the State of Gujarat.
The ethos of imparting education in Gujarat National Law University comprises of a
mutual endeavor of the Faculty and the students who become part of the august
family after clearing the hurdle of a rigorous and strenuous selection procedure. The
cream of the country finds a place amidst GNLU. The University has been in a
process of striving for academic and professional excellence in the field of legal
studies in the country. In top rankings of the National Law Universities at large,
GNLU is ranked at the 9th
position. This is remarkable as the University stands as one
of the youngest achiever among the rest of the NLU’s. Apart from this, GNLU is
pioneer in imparting legal education, training and legal aptitude among all its students.
GNLU is bestowed with large faculty members who all are experts in various fields of
Law. Coming from all over the Nation, the culture at Campus is truly national. The
facilities are also of World class with the ample numbers of books and latest
technology at IT center of the University. GNLU has created a unique learning
environment that will empower the students with necessary skills needed to achieve
their professional ambitions. Research and training coupled with solid grounding on
theory, with a vision to address the user requirement be it judiciary, academic or legal
profession, is the objective of GNLU.

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ABOUT IIFS
INDIAN INSTITUTE OF FINANCIAL SERVICES (IIFS), Ahmedabad, is an
independent, specialist management development institution dedicated to the financial
services industry.
IIFS mission is to develop management professionals for the financial services
industry and to impart financial education to all segments of the society.
Financial career related training from IIFS covers students from graduation to post-
graduate levels, working professionals with financial institutions, and independent
professionals and service providers to the financial sector from the legal, advisory or
technology sectors.
IIFS also prepares students and professionals for qualifying examinations conducted
by financial regulators required to practice in the financial markets or institutions.
IIFS also offers assistance to those who plan International careers and take up
International qualifying examinations being conducted by reputed institutions like The
Chartered Institute for Securities & Investment (CISI), London, U.K.
IIFS offers core training in how financial markets work, what financial services are
offered, and how the services are marketed, delivered and regulated – including legal
and regulatory issues intricately involved in taking financial services to the public.
IIFS uses almost exclusively senior financial services industry professionals as faculty
to give the participants in its training programs a practice oriented education and an
opportunity to establish the much needed contacts in the financial services sector.

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GNLU & IIFS Collaboration
GUJARAT NATIONAL LAW UNIVERSITY, GANDHINAGAR and INDIAN
INSTITUTE OF FINANCIAL SERVICES, AHMEDABAD have collaborated to
offer education relevant to Financial Markets and Banking, beginning with a
specialized diploma course on “FINANCIAL MARKETS & REGULATION”. The
course has been designed keeping in mind the challenges posed by the growth and
complexities of the financial markets in current times. The objective of the Program is
to train managers, professionals and service providers to the financial services
industry.
The Program is primarily aimed at the legal and regulatory professionals to support
the compliance function of financial market participants, as well as provide legal
support required by them.
The Financial Markets and Regulation Diploma is the First in a series of Legal and
Regulatory Programs aimed at covering Banking, Insurance and other Financial
Services industry segments as well.

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IIFS Director’s Message
Dear Students,
IIFS is pleased to join GNLU in welcoming the students to this unique course in
financial markets and regulation.
IIFS/GNLU Diploma in Financial Markets and Regulation (DFMR) represents a
model of career focused, value added professional training for students. The objective
of the DFMR is to open up professional careers in legal and regulatory compliance in
financial markets, whether to work with financial institutions and market practitioners,
or for independent market or compliance practice.
Financial markets in India today represent a large and growing sector, with still greater
potential for career opportunities. For the society at large, financial services are an
essential need. Given its size and importance, financial services sector is characterized
by complex regulation to achieve the goal of investor protection. All financial market
participants – institutions, intermediaries and even investors – need knowledge of
financial regulation that touches every aspect of the financial services business. Legal
practitioners on the other hand need knowledge of how financial markets work.
IIFS/GNLU Diploma brings the complementary requirements of market and
regulatory knowledge together and thus brings market and legal practitioners together.
Whether you are planning a legal career in financial markets or want to participate in
them, you will benefit from this Diploma. The industry needs a large number of legal
and compliance professionals. Even the independent practitioners and advisors need
an intimate knowledge of financial laws and regulations, for them to practice. Come
join this exclusive club of financial regulation experts.
IIFS/GNLU Diploma in Financial Markets and Regulation aims at introducing you to
the Financial Services industry structure, participants, products and services and the
regulatory issues. In addition, the Diploma provides an in-depth knowledge of all
relevant laws and regulations touching the functioning of financial markets. At the
end, you will also be taken through the current issues in the markets by the practicing
market professionals and financial legal practitioners. Welcome to IIFS and GNLU.

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DFMR Course Profile
Course Objectives
Diploma in Financial Market & Regulations (DFMR) aims at providing quality managerial &
legal knowledge in the financial markets and the investment industry.
Curriculum Objectives
The GNLU/IIFS Diploma in Financial Markets and Regulation has been designed to:
 Introduce participants to the structure and functioning of the Financial Markets
in India and abroad, including industry participants and financial services and
products now available, and;
 Equip the participants with an understanding of the legal and regulatory
framework governing the financial markets, including regulatory institutions,
and all applicable financial sector laws and regulations.
 Develop an inter-disciplinary environment for the students to deal with the
growing demands of the Financial Markets.
 Inculcate the cultural & ethical values among students necessary for the ethical
practice of the legal and compliance roles, including a better understanding of
the values enshrined in Indian Constitution.
Career Objectives
The Diploma should enable the successful participant to either practice independently
as a legal/compliance professional or take up Compliance Officer role in exchanges,
Brokerage houses, Banks, Investment firms, or Law firms.

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Who should take this course?
 Law students and legal advisors planning or pursuing Financial Sector related
legal careers
 Compliance officers in financial institutions including brokerage firms,
investment institutions, exchanges, depositories and registrars
 Management professionals from the financial market participants such as
exchanges, brokerage houses, investment banking firms, investment advisory
firms, mutual funds and investment institutions
 Independent practitioners like Chartered Accountants, pursuing financial
planning, investment advisory or wealth management advisory services
Admission & Eligibility
Minimum Batch size – 30
Eligibility: The eligibility for admission to DFMR is;
 Final year registered Law Students of LLB FYC.
 LL.M students
 Registered students of CA/CS/ICWA (Final)
 Practicing CA/CS/Cost Accountants
 Independent Lawyers and Legal Firms in Financial Markets Practice
 Employees and Officials serving Market Participant Institutions in the
Compliance function, such as Brokerage Firms, Banks, NBFIs, Investment
Management Firms etc.
Candidates awaiting results of the qualifying examination can also apply subject to the
condition that they should produce proof of having passed the qualifying examination
with requisite percentage as instructed by authorities at the time of admission.
The Admission will be made on Merit basis based on the candidate's academic
qualifications.
Candidates selected for the Main List and Waiting List will be informed of their
position individually.
Seats falling vacant, if any, will be filled from among those placed in the waiting list in
their merit order.

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Course Structure
The course covers financial markets – capital markets, commodity markets, and the
entire investment industry. It does not cover the banking and insurance sectors.
The course will be offered in two parts
PART I
Structure and Working of Investment Industry and Financial Market Segments
Legal and Regulatory Structure of Financial Market Segments
PART II
Conference, Industry Seminars, Guest Lectures and Research Projects
The Projects/ Assignments/Research Articles will be jointly reviewed by IIFS &
GNLU faculty. Depending on the requirements of particular subjects, this will be duly
informed to the student in the beginning of the course.
A Conference on Investor Protection - Legal and Regulatory Framework
2014 will be organized during part II of the course and will feature student
research presentations and leading speakers in the country like:
Dr. Ajay Shah, Professor, National Institute of Public Finance and Policy
Mr. Sandeep Parekh, Founder, Finsec Law Advisors
Ms. Dharmishta Raval, Ex – Executive Director (Legal), SEBI
Mr. D.C. Anjaria – Director, IIFS

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Course Content
PART I – FINANCIAL MARKET SEGMENTS: FUNCTIONING,
REGULATIONS AND LEGAL FRAMEWORK
1.
Introduction to Financial System, Market Segments, Investment
Industry & Financial Regulators
2.
Capital Markets: Equity Segment
 Structure, Participants, Financial Products & Services/
Instruments, Investment Processes, Corporate Actions
 Primary & Secondary Market Legislations & Regulations –
concepts and provisions
3.
Capital Markets: Debt Segment
 Structure, Participants, Financial Products &
Services/Instruments, Investment Processes, Corporate Actions
 Primary & Secondary Market Legislations & Regulations –
concepts and provisions
4.
Derivative Markets: Market Structure, Products, Investment Processes,
Legal Analysis; equity and interest rate derivatives
5.
Currency Markets: Spot, Forward and Futures/Options Market
Segments, Structure, Processes, Instruments & Regulations
6.
Commodity Markets: Spot and Futures/Options Market Segments,
Structure, Processes, Instruments & Regulations
7. Securitisation in Financial Markets: Law & Procedure, Applicability
8.
Venture Capital and Private Equity Market Segments : Regulatory
Environment
9.
Contemporary Topics in Financial Market Regulations: Investor
Protection and Complaint Resolution Mechanism , FSLRC
recommendations, Financial Transactions Documentation
PART II
1. Guest Lectures and Interaction with Market Practitioners
2.
Concluding National Seminar on Investment Protection and
Legal/Regulatory Issues with Regulators, Exchange Members and
Market Practitioners
3. Research Project Preparation
4. Internships

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Duration & Classes
The program will be conducted by experts of GNLU & IIFS collectively. The
duration of the course is for 6 months. The classes will be conducted at GNLU.
Class duration & days:
Classes will be conducted from 2 August, 2014. The teaching days will be Saturday &
Sundays of every week. The duration of every class will be 1 hr each.
Teaching Methodology
The teaching method will mainly be lecture and analytical-based. All relevant teaching
methods will be used, from lectures by the faculty and practitioners, self instruction
material and ready content, research articles and analytics sessions, and ICT based
assistance such as net based education and Video Conferencing facilities. Some case
studies will be used as well.
Faculty
The faculty for the course will be drawn from a pool of Academics and Practitioners
with a rich experience. Some of the faculty who will take lectures for the students are:
Mr. Sandeep Parekh, Founder, Finsec Law Advisors
Ms. Dharmishta Raval, Ex – Executive Director (Legal), SEBI
Mr. D.C. Anjaria – Director, IIFS
Facilities Available
o Reading Rooms at GNLU & Library at GNLU & IIFS
o Computer Lab with internet facility at both Institutions
o Consultancy Hrs.- – Student Counseling and guidance by Mentors
o Ready Reading & Study Material

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Evaluation Scheme
Attendance
A minimum 70% of attendance for each part is required to allow the students to
appear for the examinations. However, in exceptional cases the attendance
requirement may be relaxed as per university rules, but not below the minimum of
65%.
Examination
The Examination system comprises of internal (continuous evaluation) and external
(End term). The continuous evaluation shall be based on Project Reports, Quizzes
and Presentations and End-term Examinations shall be conducted upon completion
of part I.
During Part One
Students are expected to pass at least two certification examinations conducted by
market regulators.
Internal Examinations
At the end of Part One, IIFS and GNLU will conduct internal examinations for the
students, comprising of review of the Research Projects also. The minimum passing
marks for getting the diploma certificate is 50% in these Examinations.
Internal
40 Marks (Research Project)
External
60 Marks (End Term)

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End Term Examinations & Repeat
End Term Exam is conducted only for PART I of the course content.
60 marks assigned for End-Term Examination which is of comprehensive nature
conducted at the end of the term, base on course content.
The result of End-Term will be declared within 15 days.
The repeat examination shall be conducted if candidate fails to appear or pass the end
term Examination. There is no Repeat for Internals.
The student opting for the Repeat Examination shall pay a fee as follows:
Final End Term No Fees
Ist Repeat 500 Rs./Part.
IInd Reteat 700 Rs./Part
IIIrd Repeat 1000 Rs./Part
Award of Diploma Certification
Dual Certification from IIFS & GNLU will be awarded to the candidate after
successfully completing all parts with prescribed passing marks. Successful completion
of both Parts will result in the students being awarded a Joint Diploma from GNLU
and IIFS. Students will obtain regulators certification as well upon successful
completion of the external examination by the regulators.
Fee Structure
The fee for the Program is Rs.30,000. However, IIFS offers a uniform scholarship of
Rs 5,000 to all students for this second version of DFMR, making the effective fees as
Rs 25,000 for this course. Additional scholarships are offered to eligible students.

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The fee for the Program includes Tuition fee, IIFS & GNLU Exam fee, Library usage
and computers.
The external examinations fees will be payable directly to the regulatory institutions
which conduct the examination.
The applicable fees can be paid at the counter in GNLU or IIFS Office in ATMA
House, Ashram Road either in cash or through a DD in favor of the Indian Institute
of Financial Services P Ltd payable at Gandhinagar or Ahmedabad.
Financial Assistance
GNLU and IIFS are pleased to announce BSE scholarship programme to provide
financial assistance to meritorious and deserving students. In all, the following
scholarships are offered:
 3 meritorious students will be offered 100% scholarships. Of this, 2
scholarships are reserved for GNLU students.
 5 students will be offered scholarships to the extent of 80% of course fees. Of
this, 2 scholarships are reserved for GNLU students.
 5 students will be offered scholarships to the extent of 60% of course fees. Of
this, 2 scholarships are reserved for GNLU students.
All the scholarships will be given on merit and/or need basis & the discretion of
GNLU and IIFS.
Placement Assistance
Both GNLU & IIFS will extend full placement assistance for the students to get
internships during the programme and final placements at the end of the programme.

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How to Apply
Prospectus and Application Forms would be available from 21-7-2014 with the IIFS
Office in ATMA House, Ashram Road, Ahmedabad or with the GNLU
Coordinator’s (Prof. Amit Kashyap’s) Office in GNLU. The Prospectus and
Admission Forms may also be downloaded from the GNLU website www.gnlu.ac.in.
To register for this course, fully filled Admission forms with copies of relevant
certificates and a deposit of Rs. 500/- payable in cash or by demand draft drawn in
favour of Indian Institute of Financial Services P Ltd, Ahmedabad payable at
Ahmedabad must be submitted at either the IIFS Office or with the GNLU
coordinator. The deposit of Rs 500/- would be adjusted in the course fees.
Last date for submission of applications along with copies of certificates is 31st
July
2014.

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Contact Address
For any information regarding the DFMR-II Program please contact:
MR. JAI SHARDA
IIFS Coordinator: DFMR Program
(M) +91 97372 33038
Email : jai@iifs.co.in
A/712, ATMA House,
Opp Old RBI, Ashram Road,
Ahmedabad (Gujarat) 380 009
MR. NILESH BAVISHI
IIFS Coordinator: DFMR Program
(M) +91 93270 35854
A/712, ATMA House,
Opp Old RBI, Ashram Road,
Ahmedabad (Gujarat) 380 009
MR. AMIT KUMAR KASHYAP
GNLU Coordinator DFMR Program
(Asst. Professor of Law)
Gujarat National Law University,
Atalika Avenue, Knowledge Corridor,
Koba, Gandhinagar 382 007, Gujarat, INDIA,
Email: akashyap@gnlu.ac.in Mob: +918128650838
Website: www.gnlu.ac.in