REGULATORS IN INDIA

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REGULATORS IN INDIA

  1. 1. REGULATORS IN INDIA
  2. 2. AUDITORS – CHARTERED ACCOUNTANTS
  3. 3. COMPTROLLER & AUDITOR GENERAL OF INDIA (CAG) • AUDITS THE GOVERNMENT ENTITY & REPORTS TO PARLIAMENT & PRSEDENT OF INIDA
  4. 4. BANKS RESERVE BANK OF INDIA
  5. 5. BANKING STRUCTURE IN INDIA CO-OPERATIVE BANK RURAL BANK COMMERCIAL BANKS DOMESTIC BANKS NATIONALIZED BANK SHAREHOLDERS includes GOVERNMENT OF INDIA FOREIGN BANKS NON-NATIONALIZED BANKS SCHEDULED BANK NON SCHEDULED BANK
  6. 6. COMPANIES - ALL • MINISTRY OF CORPORATE AFFAIRS • REGISTRARS OF COMPANIES  21 ROCs in INDIA
  7. 7. LISTED COMPANIES • Securities Exchange Board of India (SEBI) • Stock Exchanges
  8. 8. COMPANY SECRETARIES
  9. 9. CREDIT RATING AGENCIES SECURITIES AND EXCHANGE BOARD OF INDIA (CREDIT RATING AGENCIES) REGULATIONS, 1999
  10. 10. DEBEBTURE TRUSTEES: A debenture trustee means a trustee of a trust deed for securing any issue of debentures of a body corporate WHO CAN BE A DEBENTURE TRUSTEE: – entity should either be a scheduled bank carrying on commercial activity, a public financial institution, an insurance company, or a body corporate. The entity should be registered with SEBI to act as a debenture trustee
  11. 11. SEBI (Debenture Trustees) Regulations
  12. 12. DEPOSITORIES & DEPOSITORIES PARTICIPANT A depository is an organisation which holds securities (like shares, debentures, bonds, government securities, mutual fund units etc.) of investors in electronic form at the request of the investors through a registered depository participant.
  13. 13. DEPOSITORIES PARTICIPANT 1. 2.
  14. 14. INVESTMENT CONSULTANTS
  15. 15. FOREIGN BROKERS
  16. 16. INVESTMENT BANKERS
  17. 17. INVESTOR ASSOCIATIONS
  18. 18. MUTUAL FUNDS & ASSET MANAGEMENT CO
  19. 19. PORTFOLIO MANAGERS PERSON WHO MAKES INVESTMENT DECISIONS USING MONEY OTHER PEOPLE HAVE PLACED UNDER HIS OR HER CONTROL
  20. 20. PLANTATION COMPANIES • Companies which raises money from public with objective to set up plantation of agricultural produce. E.g. Tea, Coffee, Coconut, Rubber, etc.
  21. 21. REGISTRAR & TRANSFER AGENT Registrar or transfer agents are the trusts or institutions that register and maintain detailed records of the transactions of investors for the convenience of mutual fund houses.
  22. 22. STOCK BROKER & SUB BROKER A stockbroker is a regulated professional individual, usually associated with a brokerage firm or broker dealer, who buys and sells stocks and other securities for both his clients, through a stock exchange in return for a fee or commission called as Brokerage.
  23. 23. STOCK EXCHANGES • • • • Designated Stock Exchanges Permanent stock exchanges Licenced Stock Exchanges Regional Stock Exchanges - NSE & BSE - Ahemdabad Stx. ,NSE, BSE - Gauhati, Bhubneswar, etc - Gauhati, Vadodara, etc
  24. 24. VENTURE CAPITAL FUND An investment fund that manages money from investors seeking private equity stakes in start up and small- and medium-size enterprises with strong growth potential. These investments are generally characterized as high-risk/high-return opportunities.
  25. 25. MUTUAL FUND BROKERS/AGENTS ASSOCIATION OF MUTUAL FUNDS IN INDIA SECURITIES EXCHANGE BOARD OF INDIA
  26. 26. INSURANCE COMPANIES & BROKERS

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