Institute committed for safeguarding interests of investors


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Institute committed for safeguarding interests of investors

  1. 1. Institute Committed for Safeguarding Interests of Investors
  2. 2. Directly or Indirectly
  3. 3. Be it through FI, FII, VC, MF, Banks, Societies, or any other mode
  4. 4. Capital comes from Savings of household Investors
  5. 5. Hence Investor Education and Protection is VITAL
  6. 6. Realising the Needs of Investors
  7. 7. SEBI and ICSI have taken number of initiatives
  8. 8. ICSI Initiatives for Capital Market Role of Company Secretaries in Capital Market Organising Investor Education Programmes Establishment of Investor Clinic Useful Information Material on Website of the Institute Online Investor Grievance Software
  9. 9. Company Secretaries in Capital Market Services Provided by Company Secretaries  Securities Management and Compliances  Corporate Governance for Capital Market Intermediaries CS Course has an exclusive paper on Securities Laws and Regulation of Capital Markets Management Training in  Stock Exchanges  Intermediaries Post Membership Qualification (PMQ) Course in  Capital Market and Financial Services  Corporate Governance
  10. 10. Investor Education Programmes Our TargetAcross India “To hold investor education Joint Programmes programmes in 60 with UP Stock Chapters of ICSI Exchange across India by– Lucknow 31st March 2004”– Kanpur Joint Programmes with Delhi Stock Exchange– Karnal– Panipat– Ambala– Chandigarh
  11. 11. ICSI Investors Clinics comprise of panel of Company Secretaries and are established at all our Regional Councils and major chapters. SERVICES TO INVESTORSAdvice with respect to: • Providing standardised formats- Transfer, transmission, nomination of shares or other • Organising Investor securities Education Programmes- Rights of investors • Publishing hand-books/- Various forums available for pamphlets Redressal
  12. 12. CHAPTERS • Agra • Ahmedabad • Chandigarh • FaridabadREGIONAL COUNCILS • Gaziabad • Howrah • Chennai • Indore • Delhi • Patna • Kolkata • Pune • Ranchi • Mumbai • Vadodra
  13. 13. Accessing Investor Clinics The details of Investor Clinics in available on the Website of Institute The Investors can approach Investor Clinics for guidance and advise regarding capital market, their rights, various procedures, etc.
  14. 14. • Investor Clinics Details • Useful Information for Investors • Information about various programmes all over India • Links to various authorities
  15. 15. Online Investor Grievance Software – Rights of investors on investment related queries and problems – Appropriate regulatory Online Investor authority to be approached Grievance Software for specific problems – A directory of latest addresses of various regulators and capital market intermediaries – Standardised formats of letters to be sent by investors
  16. 16. SEBI Road Ahead Traversed with ICSI
  17. 17. Road Ahead for SEBI Traversed with ICSICorporatisation and Advisory Servicesdemutualisation of stock Management/ governingexchanges expertiseStrengthening of corporate National Award for Excellencegovernance through evaluation in Corporate Governanceof form and measurement of Corporate Governance Ratingwealth creation, wealth methodologymanagement and wealth Yardstick book on corporatesharing governance Training for directors and membersSetting up of investor We have already set-upprotection corporation Investor Clinics Investor Grievance Model Software
  18. 18. Road Ahead for SEBI Traversed with ICSIEducating investors about the Educating Throughsecurities market -Investor clinics -Organising Investor Education programmes -Creating awareness about new products such as derivatives, digital signature in securities transaction, etc -Designing investor friendly publicationsStrengthening risk Advisormanagement system of Compliance OfficercorporatesImproving the quality of Compliance Audit ofintermediaries and corporate Intermediariesgovernance at intermediaries Training of intermediaries
  19. 19. Road Ahead for SEBI Traversed with ICSIStrengthening regulatory Audit of disclosures undertransparency Listing Agreement Secretarial StandardsCreation of market intelligence Company Secretary himselfnetwork and strengthening acts as compliance officer ofsurveillance and enforcement the company and ensures inbuilt surveillance and enforcementDevelopment of active Investor awarenesscorporate bond marketUse of digital signatures in Training and education ofsecurities transactions Investors and intermediaries
  20. 20. Road Ahead for SEBI Traversed with ICSIDevelopment of self regulatory Knowledge Sharingorganisations (SROs) in Formulating practices andsecurities market procedures We Traverse Together
  21. 21. Corporate Governance is at theHeart of Investment Decisions
  22. 22. Company Secretaries are at theHeart of Corporate Governance
  23. 23. Our Vision “To be global leader in development of professionals specialising in corporate governance”
  24. 24. Corporate Governance for ICSI ”Corporate Governance is the application of best management practices, compliance of law in true letter and spirit and adherence to ethical standards for effective management and distribution of wealth and discharge of social responsibility for sustainable development of all stakeholders”
  25. 25. ICSI Initiatives for Corporate Governance ICSI National Award for Excellence in Corporate Governance Professional Development Programmes Member Trustee of National Foundation for Corporate Governance of Ministry of Finance Introduction of PMQ Course in Corporate Governance Formulating and issuing Secretarial Standards Model Formats for Corporate Governance Reporting Chartered Secretary Journal ICSI Centre for Corporate Research and Training
  26. 26. ICSI NATIONAL AWARD FOR EXCELLENCE IN CORPORATE GOVERNANCEPromoting Good Governance In Indian Corporate Sector
  27. 27. Continuing Education Programmes Special Programmes on: – Corporate GovernanceRegular Programmes – Capital Markets– Conventions and Conferences – Securities Laws– Seminars and Workshops – Central Listing Authority– Study Circle Meetings – Compliance of Listing Agreement Collaborative Programmes with – Compliances by Intermediaries – Government and Regulators – E-IPO – Industry Associations – Simultaneous Listing – Chambers of Commerce – EDIFAR – Sister Professional Bodies – Online Filing and Digital Signature – Take Over Code – Insider Trading – Merger – Demerger – Buy Back and Delisting – Depository Participant
  28. 28. PMQ Course in Corporate Governance Objectives Course Coverage Paper 1 “To provide expert Conceptual Framework of Corporate knowledge to Governance Paper 2 understand, analyse Corporate and Board Management and apply the Paper 3 principles and Legal and Regulatory Framework of Corporate practices of Good Governance Corporate Paper 4 Governance in real Board Committees and Role of Professionals life situations .“ Paper 5 Corporate Governance - Codes and Practices Dissertation/ Project Report
  29. 29. Formulating and IssuingSecretarial Standards Objective: “To integrate, harmonise, and standardise the diverse secretarial practices for good corporate governance.” ICSI is the only professional body in the world to issue Secretarial Standards Secretarial Standards are Secretarial Standards issued by developed: the ICSI: • in a transparent manner • SS-1 Meetings of the Board of • after extensive research Directors • after taking views of corporates, • SS-2 General Meetings regulators and the public at • SS-3 Dividend large Guidance Note on Passing of Resolution by Postal Ballot
  30. 30. Model Formats for Corporate GovernanceReporting – Better Information to Investors • Original research covering 1700 companies • Covering best practices and formats for better Corporate Governance
  31. 31. Chartered Secretary Journal Containing • Articles on -Corporate Governance -Capital Market -Corporate Laws -Management • Useful Information for Investors • Information about various programmes all over India • Case laws and Notifications
  32. 32. ICSI Centre for Corporate Research andTraining (ICSI-CCRT) Mission: “A Centre to create a core of excellent corporate professionals for corporate excellence and contribute to the emergence of India as an economic superpower.” RESEARCH in following areas: INFRASTRUCTURE: • Corporate Governance • Situated at Navi Mumbai • Corporate Laws • 180 capacity hall with latest • Management equipments • Capital Markets • Two 50 Seat Conference Halls • Intellectual Property Laws • Six Classrooms • International Business • Two Computer Labs & Library • Arbitration and ADRs • Residential Wing - 22 Room with AC
  33. 33. Finally, ICSI stands for
  34. 34. Institute Committed forSafeguarding Interests of Investors