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INVESTOR PROTECTION
ROLE OF THE
REGULATOR
AKBAR ALI K
DEPT. OF COMMERCE
PONDICHERRY UNIVERSITY
SPECIFIC LAW
• No separate law
• It is present in varied laws
– Company Law
– Securities Law
– DIP Guidelines
– ICDR Regulation
AGENCIES INVOLVED
 SEBI
 RBI
 PFRDA
 Ministry Of Finance
 Ministry Of Corporate Affair
 Credit Rating Agencies
 Depositories
INVESTOR GRIEVANCE REDRESSAL
• Company Law Board/Tribunal
• High Court
• Consume Complaint
• Capital Market Ombudsman
• SEBI
• Investors’Associations
SECURITIES MARKET AWARENESS CAMPAIGN
• Launched In Jan. 17, 2003.
• Workshops
• Advertisement
• Educative Materials
• Cautionary Message On Television/ Radio
• Internet Based Response System
CONCLUSION
• In India investment risks are very high due to dishonest practices, frauds and unethical investment
culture.
• Investors are cheated by companies, by lead managers, by brokers and by everybody, who is
capable of cheating them.
• The government, the company law board and the SEBI, in recent years have
made efforts to protect the investors.

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Reforms to protect the investors

  • 1. INVESTOR PROTECTION ROLE OF THE REGULATOR AKBAR ALI K DEPT. OF COMMERCE PONDICHERRY UNIVERSITY
  • 2. SPECIFIC LAW • No separate law • It is present in varied laws – Company Law – Securities Law – DIP Guidelines – ICDR Regulation
  • 3. AGENCIES INVOLVED  SEBI  RBI  PFRDA  Ministry Of Finance  Ministry Of Corporate Affair  Credit Rating Agencies  Depositories
  • 4. INVESTOR GRIEVANCE REDRESSAL • Company Law Board/Tribunal • High Court • Consume Complaint • Capital Market Ombudsman • SEBI • Investors’Associations
  • 5. SECURITIES MARKET AWARENESS CAMPAIGN • Launched In Jan. 17, 2003. • Workshops • Advertisement • Educative Materials • Cautionary Message On Television/ Radio • Internet Based Response System
  • 6. CONCLUSION • In India investment risks are very high due to dishonest practices, frauds and unethical investment culture. • Investors are cheated by companies, by lead managers, by brokers and by everybody, who is capable of cheating them. • The government, the company law board and the SEBI, in recent years have made efforts to protect the investors.