Financial regulation & capital investment process is presented with respect to the banking & non banking financial institutions. The primary & secondary capital market regulator along with intermediaries are depicted

1. FINANCIAL INSTITUTIONS
BANKING NON BANKING
MERCHANT
/ INVESTMENT BANKING
ICICI , IDBI
HDFC …
Commercial & Non Commercial Life Insurance &
Venture Capital
General Insurance
Trust & Asset
Management Firms
Registrar
Market Regulators
/Exchanges
Lead /Co Manager
Bankers
Compliance
/Liaison
Officer
1
2
3
4
Individual &
Corporate Investors
Domestic
Investors
& FII
Lenders
Documentation
/ Prospectus Financial Due
Diligence
Marketing
&
Post Marketing
Applications &
Allotment
Financial Regulation & Capital Investment Process
8/30/2015 1
Underwriters &
Stock brokers
FINANCIAL
MARKETS
Financial instruments
& Trading Requirements
Public Issue / IPO
CURRENCY
BOARD
CENTRAL
BANK
No discretional
monetary policy
Discretional
monetary policy
Custodian
/ Depository
Retail
Banking
Institutional
Banking
Clearing & Settlement / Tranches
Bought deals QIP / Placement Ex-Rights
Transaction costs
/ Premium price
Market Maker
/ Dealer
Intermediary
Participant
Rights
Demand
& Price discovery