Insider trading
โขDownload as PPT, PDFโข
2 likesโข224 views
Insider trading involves trading stocks or securities based on non-public information. It is considered illegal and unfair to other investors without access to that information. There are two types of insiders - primary insiders like directors, auditors, and top executives who have direct access to non-public company information, and secondary insiders like dealers and other employees who may have access to insider information. Examples of insider information include financial results, dividend declarations, mergers and acquisitions. Insider trading is prohibited, and those engaging in it may face penalties including fines up to 5 lakhs, criminal prosecution, and prohibited future dealings.
Report
Share
Report
Share
Recommended
Related Party Transactions by Makarand Lele
This presentation of Makarand Lele provides insight to various aspects of Related Party Transactions under the Companies Act 2013
Insider Trading Final
This document provides an overview of insider trading regulations and practices in India. It discusses the history behind insider trading regulations, defines key terms like who qualifies as an insider and what constitutes unpublished price sensitive information. It also outlines the regulatory aspects of prohibiting insider trading in India according to SEBI regulations. Finally, it summarizes some notable insider trading cases in India involving companies like HLL, Rakesh Agarwal and Samir Arora.
users of accounting.pdf
This document summarizes the different types of users of financial information. Internal users are individuals inside a company who are directly involved in managing and operating the business, such as marketing managers, production supervisors, finance directors, and owners. External users are individuals and organizations outside a company who want financial information about the company but are not directly involved in its management, including potential investors, creditors, tax authorities, investors, customers, and regulatory authorities. Potential investors use accounting information to make decisions about investing in a company, while creditors use it to evaluate lending risks.
โCompany SecretaryโThe Professional Facilitator in Capital Market
Company Secretaries play an important role in India's growing capital markets. They serve as strategic advisors to listed companies, intermediaries like merchant bankers, and help guide companies through important processes like IPOs, mergers and acquisitions. As regulations have increased, the role of Company Secretaries has expanded, with opportunities in employment with companies and intermediaries or in private practice providing compliance and advisory services. The capital markets have grown significantly over time and Company Secretaries are well positioned to support further development and help companies and investors navigate an increasingly complex regulatory landscape.
How to convert physical share to demat.pptx
There are several benefits to converting physical shares into demat form:
1. Convenience: Holding shares in demat form is more convenient than holding them in physical form. You don't have to worry about safekeeping the physical certificates, and you can view the details of your holdings and perform transactions online.
2. Safety: Demat shares are safer than physical shares as they are held electronically in a demat account, which reduces the risk of loss, theft, or damage.
3. Ease of transfer: Transferring demat shares is much easier than transferring physical shares. In the case of demat shares, you just need to instruct your DP to transfer the shares, whereas for physical shares, you need to physically sign and deliver the share certificates.
4. Faster settlement: Demat shares are settled faster than physical shares as the transfer of ownership is done electronically. This can be especially beneficial if you want to sell your shares quickly.
5. Cost-effective: Converting physical shares into demat form can save you money in the long run as it eliminates the need for stamp duty, which is applicable on physical share transfers.
Overall, converting physical shares into demat form offers several advantages and is a good idea for most investors.
Research paper on Insider Trading
This document is a research paper on insider trading prepared by CA Mayank Mittal. It defines insider trading as dealing in a company's securities using non-public, price-sensitive information for profit or loss. The paper discusses the history of regulating insider trading in India and defines who qualifies as an insider. It outlines the negative impacts of insider trading, governing regulations and penalties. The paper concludes that proper internal controls are needed to prevent insider trading and protect organizations and market integrity.
Financial systems role of market participants
In this session, you will learn about:
Investors
Issuers
Regulators
Custodians
Broker Dealers
Depositories
Clearing Agents
Lead Managers
Code of-conduct-insider-trading
The document outlines GMR Industries Limited's Code of Conduct for Prevention of Insider Trading. It defines key terms like insider, unpublished price sensitive information, and designated employees. It prohibits insider trading by directors, officers, and other designated employees. It requires pre-clearance for certain share transactions and imposes restrictions on trading during prohibited periods. It also mandates initial and annual disclosures of shareholdings by directors, officers, and their dependent family members. The code aims to prevent misuse of unpublished price sensitive information when dealing in the company's securities.
Recommended
Related Party Transactions by Makarand Lele
This presentation of Makarand Lele provides insight to various aspects of Related Party Transactions under the Companies Act 2013
Insider Trading Final
This document provides an overview of insider trading regulations and practices in India. It discusses the history behind insider trading regulations, defines key terms like who qualifies as an insider and what constitutes unpublished price sensitive information. It also outlines the regulatory aspects of prohibiting insider trading in India according to SEBI regulations. Finally, it summarizes some notable insider trading cases in India involving companies like HLL, Rakesh Agarwal and Samir Arora.
users of accounting.pdf
This document summarizes the different types of users of financial information. Internal users are individuals inside a company who are directly involved in managing and operating the business, such as marketing managers, production supervisors, finance directors, and owners. External users are individuals and organizations outside a company who want financial information about the company but are not directly involved in its management, including potential investors, creditors, tax authorities, investors, customers, and regulatory authorities. Potential investors use accounting information to make decisions about investing in a company, while creditors use it to evaluate lending risks.
โCompany SecretaryโThe Professional Facilitator in Capital Market
Company Secretaries play an important role in India's growing capital markets. They serve as strategic advisors to listed companies, intermediaries like merchant bankers, and help guide companies through important processes like IPOs, mergers and acquisitions. As regulations have increased, the role of Company Secretaries has expanded, with opportunities in employment with companies and intermediaries or in private practice providing compliance and advisory services. The capital markets have grown significantly over time and Company Secretaries are well positioned to support further development and help companies and investors navigate an increasingly complex regulatory landscape.
How to convert physical share to demat.pptx
There are several benefits to converting physical shares into demat form:
1. Convenience: Holding shares in demat form is more convenient than holding them in physical form. You don't have to worry about safekeeping the physical certificates, and you can view the details of your holdings and perform transactions online.
2. Safety: Demat shares are safer than physical shares as they are held electronically in a demat account, which reduces the risk of loss, theft, or damage.
3. Ease of transfer: Transferring demat shares is much easier than transferring physical shares. In the case of demat shares, you just need to instruct your DP to transfer the shares, whereas for physical shares, you need to physically sign and deliver the share certificates.
4. Faster settlement: Demat shares are settled faster than physical shares as the transfer of ownership is done electronically. This can be especially beneficial if you want to sell your shares quickly.
5. Cost-effective: Converting physical shares into demat form can save you money in the long run as it eliminates the need for stamp duty, which is applicable on physical share transfers.
Overall, converting physical shares into demat form offers several advantages and is a good idea for most investors.
Research paper on Insider Trading
This document is a research paper on insider trading prepared by CA Mayank Mittal. It defines insider trading as dealing in a company's securities using non-public, price-sensitive information for profit or loss. The paper discusses the history of regulating insider trading in India and defines who qualifies as an insider. It outlines the negative impacts of insider trading, governing regulations and penalties. The paper concludes that proper internal controls are needed to prevent insider trading and protect organizations and market integrity.
Financial systems role of market participants
In this session, you will learn about:
Investors
Issuers
Regulators
Custodians
Broker Dealers
Depositories
Clearing Agents
Lead Managers
Code of-conduct-insider-trading
The document outlines GMR Industries Limited's Code of Conduct for Prevention of Insider Trading. It defines key terms like insider, unpublished price sensitive information, and designated employees. It prohibits insider trading by directors, officers, and other designated employees. It requires pre-clearance for certain share transactions and imposes restrictions on trading during prohibited periods. It also mandates initial and annual disclosures of shareholdings by directors, officers, and their dependent family members. The code aims to prevent misuse of unpublished price sensitive information when dealing in the company's securities.
PROFESSIONAL SERVICE PROFILE
This document provides an overview of the services offered by Kumar Anil & Associates, a company secretarial firm. It outlines their regular services which include corporate law advisory, corporate governance services, representation services, audit services, and SEBI compliance. It also describes their strategic services such as legal due diligence, mergers/acquisitions, foreign exchange management, fundraising, and compliance management. The document provides details on the types of tasks covered under each service offering.
HSL
HDFC Securities is a financial services intermediary that has been operating for over a decade. It serves retail and institutional investors through various equity, investment, insurance, and loan products and services. The document outlines HDFC Securities' vision, mission, values of commitment to excellence, business structure, leadership team, workplace policies, and dress code guidelines. It emphasizes simplicity, speed, and quality in its operations."
insider_trading_
SEBI introduced regulations in 1992 to govern insider trading in India and prohibit the use of unpublished price sensitive information for securities trading. Insiders such as employees who have access to such information and connected persons such as family members cannot misuse this data for financial gain. Saira and her husband Sahil would be found guilty of insider trading as she shared non-public information about her company's acquisition plans with him, and he subsequently traded on this information for profit without following necessary pre-clearance procedures. SEBI regulations aim to promote fair securities markets and prevent information asymmetries through disclosure requirements and penalties for non-compliance, including heavy fines and imprisonment.
SECRETARIAL PRACTICE - Duties and responsibilities of Company secretary
The document discusses the role and responsibilities of a company secretary. It defines a company secretary as an individual who is a member of the Institute of Company Secretaries of India and is appointed to perform ministerial and administrative duties for a company. The key duties of a secretary include maintaining records, filing required returns and notices, ensuring compliance with legal requirements, and assisting the board of directors in policy matters. A secretary acts as a link between the directors and shareholders and represents the company externally.
SECRETARIAL PRACTICE - Duties, rights, liabillities of a company secretary
The document discusses the role and responsibilities of a company secretary. It defines a company secretary as an individual who is a member of the Institute of Company Secretaries of India and is appointed to perform ministerial and administrative duties for a company. The key duties of a secretary include maintaining records, filing required returns and notices, ensuring compliance with legal requirements, and assisting the board of directors in policy matters. A secretary acts as a link between the company and its shareholders and external stakeholders.
Company law, power point presentation
The document discusses the duties and liabilities of directors under the Companies Act 2013 in India. It defines what constitutes a director and outlines the key duties directors have, including fiduciary duties to act in good faith and in the best interests of the company. Directors must avoid conflicts of interest, not accept unauthorized benefits, and exercise care, skill and diligence. The duties are owed to the company. Breach of duties can result in criminal liability or civil liability for officers deemed to be "in default."
Wos foriegn company
The document provides information on setting up a foreign company subsidiary in India. It discusses the options of a private limited company or LLP, the minimum requirements for each, and outlines an 8 step process for company registration that includes obtaining necessary approvals and compliances. Key points covered are selecting an acceptable company name, preparing required documents such as MOA and AOA, and post-incorporation formalities like opening a bank account and filing necessary registrations.
PPT__a.pptx
The document discusses the need for trust between companies and their shareholders/stakeholders. It outlines issues that undermine trust such as misleading owners and concealing secrets. Regulations are needed to tighten legal restrictions on companies and require audits to improve accountability. Setting rules around shares and dividends, capital requirements, and financial disclosure aim to rebuild trust. The concepts of limited liability and agency theory are also discussed in relation to balancing the interests of managers and investors.
internet trading.pdf
This document discusses insider trading, internet trading, and over-the-counter exchanges. It defines insider trading as trading based on non-public, price-sensitive information. It outlines who is considered an insider and what types of information are considered price-sensitive according to SEBI guidelines. The document also describes the process of internet trading and placing orders online through a broker. Finally, it introduces over-the-counter exchanges as a market for smaller companies to list securities with lower fees than major exchanges.
Presentation2
The document discusses insider trading law, including that:
1) Insider trading involves trading a company's stocks/securities using insider information.
2) It is not necessarily illegal for company officers/key employees to trade, as long as they are not using insider information to benefit themselves.
3) Someone who passes insider information to another person, like a spouse, can still be liable for illegal insider trading even if they did not trade the securities themselves.
Corporate governance 'unplugged'
The challenges to proper corporate governance emanating from a fast-changing regulatory world and the requirement for timely and accurate performance reporting and disclosure by both shareholders and the competitive market landscape means that corporate leadership is underenormous pressure to deliver within a tightly-confined space.
How to choose the right franchise for you
This document provides an overview of factors to consider when evaluating franchise opportunities and starting a franchise business. It discusses performing lifestyle, competency, and financial assessments; researching applicable franchises using disclosure documents; interviewing franchise companies and existing franchisees; understanding franchise agreements; developing a business plan; and preparing for success through goals, marketing strategies, and adapting to changes. The future of franchising is also discussed, noting trends of people pursuing business ownership through franchising.
Legal & Business Environment- Module 3
Oppression,MismanagementandInvestigation:
โข(i)Prospectus,membershipandshareholdinginancompany.(ii)PreventionofOppression(iii)PreventionofMismanagement(iv)Role&PowersoftheCompanyLawBoard(v)Role&PowersofCentralGovernment.
โขMeeting:(i)TypesofMeetings(ii)Procedureofcallingforameeting(iii)Companyโsresolutionsanditskinds,proxies.
โขCorporateLiquidation:(i).WindingupofCompanies(ii).Modeofwindingupofthecompanies(iii).CompulsoryWindingupundertheOrderoftheTribunal(iv).Voluntarywindingup(v).Contributories(vi).Paymentofliabilities.
โขMinicasePresentationandDiscussiononRuleinFossv.Harbottle.
Satyam Scam
The document discusses the Satyam scam that was exposed in 2009 when the chairman admitted to falsifying financial statements.
Some key events:
- In December 2008, Satyam proposed acquisitions that raised debt levels and questions about governance.
- An anonymous email was sent to the board about financial irregularities.
- In January 2009, the chairman resigned and admitted falsifying $1.5 billion in cash reserves.
The scam highlighted failures in corporate governance, auditing, and the role of independent directors. Lessons included the need for stronger oversight of management, more robust auditing practices, and protections for whistleblowers. Regulatory reforms after other corporate scandals also did not prevent this large
Directors company act law
Directors are responsible for managing companies and must be individuals. Public companies must have a minimum of 3 directors while private companies require 2. The number of directors is capped at 15. At least one director must be a woman and one must be a resident of India for certain companies. One-third of directors for listed companies must be independent. Directors are assigned a Director Identification Number for appointment and companies must inform this to regulatory authorities. Directors may be first appointed, subsequently elected by shareholders, or appointed to fill casual vacancies until the next shareholder meeting. Some directors retire on a rotating basis while others are eligible for re-election. Requirements and restrictions apply for independent, nominee, and small shareholder directors. Directors are dis
Public sector breakfast club, February 2019, Exeter
In this practical session we explored the legal duties of directors and the difficulties which they may face. The session focussed on individuals who are directors for public sector companies, including their role, obligations and competing interests which may arise.
Financial-Management-Demo.pptx
This document provides an overview of key topics in financial management, including definitions of financial management, capital structure, capitalization, sources of finance, financial statements, financial ratios, and types of leverage. It also describes the role of the financial manager and use of financial reporting and accounting in management. The document uses examples to illustrate concepts like capital structure determination, types of long-term and short-term sources of financing, and components of important financial statements. It outlines the objectives and functions of financial planning and management.
132797160-Ethics-in-Finance-by-Anita-ppt.ppt
Ethics is important in finance to maintain fairness and justice. Finance deals with money, markets, and managing funds. Ethics in finance means serving customers and companies with honesty and integrity. Some unethical issues include financial statement fraud, insider trading, hostile takeovers, and deception in markets. Companies use defenses like poison pills, greenmail, buybacks, and "people pills" against hostile bids. Upholding strong ethics benefits all stakeholders.
Unit 3 sebi
SEBI (Securities and Exchange Board of India) is India's securities market regulator that was established in 1988 to protect investors, develop and regulate the securities market. SEBI is headed by a board and has various departments that work to achieve its objectives of regulating market intermediaries, promoting investor education, and enforcing prohibitions on unfair trading practices. SEBI also works to facilitate investor grievance redressal and promote an efficient, fair and transparent securities market in India.
Sebi final ppt class
SEBI (Securities and Exchange Board of India) was constituted in 1988 as the apex regulatory body for securities markets in India. It regulates the securities markets, including the stock exchanges. SEBI has its headquarters in Mumbai and regional offices in major cities across India. It is composed of a chairman and other full-time and part-time members appointed by the central government of India. SEBI was established to protect investors, ensure orderly development of the securities market, and regulate securities exchanges. It performs various regulatory, developmental and protective functions towards these objectives, such as prohibiting insider trading and price manipulation.
Shortcomings of Demat Account
A demat account allows investors to hold securities digitally and trade shares online. However, demat accounts also have some shortcomings. Demat accounts require yearly fees to cover maintenance costs and force investors to trade frequently online. This level of technology literacy and high trading frequency can prevent long-term investing and result in losses. Demat account holders must also monitor stockbroker activities and may need to agree to additional contracts.
Demat Account Services
A demat account allows investors to hold shares and securities in electronic format rather than physical certificates. It provides benefits like seamless and fast transfer of shares, facilitates digitally secured storage of investments, and easy tracking of trading activities. A demat account provides a convenient way to hold shares and securities by eliminating risks of theft, forgery or damage of physical certificates. It allows for immediate digital transfer of securities once a trade is approved. Demat accounts do not require a minimum balance of shares and one can hold multiple demat accounts linked to a single PAN number.
More Related Content
Similar to Insider trading
PROFESSIONAL SERVICE PROFILE
This document provides an overview of the services offered by Kumar Anil & Associates, a company secretarial firm. It outlines their regular services which include corporate law advisory, corporate governance services, representation services, audit services, and SEBI compliance. It also describes their strategic services such as legal due diligence, mergers/acquisitions, foreign exchange management, fundraising, and compliance management. The document provides details on the types of tasks covered under each service offering.
HSL
HDFC Securities is a financial services intermediary that has been operating for over a decade. It serves retail and institutional investors through various equity, investment, insurance, and loan products and services. The document outlines HDFC Securities' vision, mission, values of commitment to excellence, business structure, leadership team, workplace policies, and dress code guidelines. It emphasizes simplicity, speed, and quality in its operations."
insider_trading_
SEBI introduced regulations in 1992 to govern insider trading in India and prohibit the use of unpublished price sensitive information for securities trading. Insiders such as employees who have access to such information and connected persons such as family members cannot misuse this data for financial gain. Saira and her husband Sahil would be found guilty of insider trading as she shared non-public information about her company's acquisition plans with him, and he subsequently traded on this information for profit without following necessary pre-clearance procedures. SEBI regulations aim to promote fair securities markets and prevent information asymmetries through disclosure requirements and penalties for non-compliance, including heavy fines and imprisonment.
SECRETARIAL PRACTICE - Duties and responsibilities of Company secretary
The document discusses the role and responsibilities of a company secretary. It defines a company secretary as an individual who is a member of the Institute of Company Secretaries of India and is appointed to perform ministerial and administrative duties for a company. The key duties of a secretary include maintaining records, filing required returns and notices, ensuring compliance with legal requirements, and assisting the board of directors in policy matters. A secretary acts as a link between the directors and shareholders and represents the company externally.
SECRETARIAL PRACTICE - Duties, rights, liabillities of a company secretary
The document discusses the role and responsibilities of a company secretary. It defines a company secretary as an individual who is a member of the Institute of Company Secretaries of India and is appointed to perform ministerial and administrative duties for a company. The key duties of a secretary include maintaining records, filing required returns and notices, ensuring compliance with legal requirements, and assisting the board of directors in policy matters. A secretary acts as a link between the company and its shareholders and external stakeholders.
Company law, power point presentation
The document discusses the duties and liabilities of directors under the Companies Act 2013 in India. It defines what constitutes a director and outlines the key duties directors have, including fiduciary duties to act in good faith and in the best interests of the company. Directors must avoid conflicts of interest, not accept unauthorized benefits, and exercise care, skill and diligence. The duties are owed to the company. Breach of duties can result in criminal liability or civil liability for officers deemed to be "in default."
Wos foriegn company
The document provides information on setting up a foreign company subsidiary in India. It discusses the options of a private limited company or LLP, the minimum requirements for each, and outlines an 8 step process for company registration that includes obtaining necessary approvals and compliances. Key points covered are selecting an acceptable company name, preparing required documents such as MOA and AOA, and post-incorporation formalities like opening a bank account and filing necessary registrations.
PPT__a.pptx
The document discusses the need for trust between companies and their shareholders/stakeholders. It outlines issues that undermine trust such as misleading owners and concealing secrets. Regulations are needed to tighten legal restrictions on companies and require audits to improve accountability. Setting rules around shares and dividends, capital requirements, and financial disclosure aim to rebuild trust. The concepts of limited liability and agency theory are also discussed in relation to balancing the interests of managers and investors.
internet trading.pdf
This document discusses insider trading, internet trading, and over-the-counter exchanges. It defines insider trading as trading based on non-public, price-sensitive information. It outlines who is considered an insider and what types of information are considered price-sensitive according to SEBI guidelines. The document also describes the process of internet trading and placing orders online through a broker. Finally, it introduces over-the-counter exchanges as a market for smaller companies to list securities with lower fees than major exchanges.
Presentation2
The document discusses insider trading law, including that:
1) Insider trading involves trading a company's stocks/securities using insider information.
2) It is not necessarily illegal for company officers/key employees to trade, as long as they are not using insider information to benefit themselves.
3) Someone who passes insider information to another person, like a spouse, can still be liable for illegal insider trading even if they did not trade the securities themselves.
Corporate governance 'unplugged'
The challenges to proper corporate governance emanating from a fast-changing regulatory world and the requirement for timely and accurate performance reporting and disclosure by both shareholders and the competitive market landscape means that corporate leadership is underenormous pressure to deliver within a tightly-confined space.
How to choose the right franchise for you
This document provides an overview of factors to consider when evaluating franchise opportunities and starting a franchise business. It discusses performing lifestyle, competency, and financial assessments; researching applicable franchises using disclosure documents; interviewing franchise companies and existing franchisees; understanding franchise agreements; developing a business plan; and preparing for success through goals, marketing strategies, and adapting to changes. The future of franchising is also discussed, noting trends of people pursuing business ownership through franchising.
Legal & Business Environment- Module 3
Oppression,MismanagementandInvestigation:
โข(i)Prospectus,membershipandshareholdinginancompany.(ii)PreventionofOppression(iii)PreventionofMismanagement(iv)Role&PowersoftheCompanyLawBoard(v)Role&PowersofCentralGovernment.
โขMeeting:(i)TypesofMeetings(ii)Procedureofcallingforameeting(iii)Companyโsresolutionsanditskinds,proxies.
โขCorporateLiquidation:(i).WindingupofCompanies(ii).Modeofwindingupofthecompanies(iii).CompulsoryWindingupundertheOrderoftheTribunal(iv).Voluntarywindingup(v).Contributories(vi).Paymentofliabilities.
โขMinicasePresentationandDiscussiononRuleinFossv.Harbottle.
Satyam Scam
The document discusses the Satyam scam that was exposed in 2009 when the chairman admitted to falsifying financial statements.
Some key events:
- In December 2008, Satyam proposed acquisitions that raised debt levels and questions about governance.
- An anonymous email was sent to the board about financial irregularities.
- In January 2009, the chairman resigned and admitted falsifying $1.5 billion in cash reserves.
The scam highlighted failures in corporate governance, auditing, and the role of independent directors. Lessons included the need for stronger oversight of management, more robust auditing practices, and protections for whistleblowers. Regulatory reforms after other corporate scandals also did not prevent this large
Directors company act law
Directors are responsible for managing companies and must be individuals. Public companies must have a minimum of 3 directors while private companies require 2. The number of directors is capped at 15. At least one director must be a woman and one must be a resident of India for certain companies. One-third of directors for listed companies must be independent. Directors are assigned a Director Identification Number for appointment and companies must inform this to regulatory authorities. Directors may be first appointed, subsequently elected by shareholders, or appointed to fill casual vacancies until the next shareholder meeting. Some directors retire on a rotating basis while others are eligible for re-election. Requirements and restrictions apply for independent, nominee, and small shareholder directors. Directors are dis
Public sector breakfast club, February 2019, Exeter
In this practical session we explored the legal duties of directors and the difficulties which they may face. The session focussed on individuals who are directors for public sector companies, including their role, obligations and competing interests which may arise.
Financial-Management-Demo.pptx
This document provides an overview of key topics in financial management, including definitions of financial management, capital structure, capitalization, sources of finance, financial statements, financial ratios, and types of leverage. It also describes the role of the financial manager and use of financial reporting and accounting in management. The document uses examples to illustrate concepts like capital structure determination, types of long-term and short-term sources of financing, and components of important financial statements. It outlines the objectives and functions of financial planning and management.
132797160-Ethics-in-Finance-by-Anita-ppt.ppt
Ethics is important in finance to maintain fairness and justice. Finance deals with money, markets, and managing funds. Ethics in finance means serving customers and companies with honesty and integrity. Some unethical issues include financial statement fraud, insider trading, hostile takeovers, and deception in markets. Companies use defenses like poison pills, greenmail, buybacks, and "people pills" against hostile bids. Upholding strong ethics benefits all stakeholders.
Unit 3 sebi
SEBI (Securities and Exchange Board of India) is India's securities market regulator that was established in 1988 to protect investors, develop and regulate the securities market. SEBI is headed by a board and has various departments that work to achieve its objectives of regulating market intermediaries, promoting investor education, and enforcing prohibitions on unfair trading practices. SEBI also works to facilitate investor grievance redressal and promote an efficient, fair and transparent securities market in India.
Sebi final ppt class
SEBI (Securities and Exchange Board of India) was constituted in 1988 as the apex regulatory body for securities markets in India. It regulates the securities markets, including the stock exchanges. SEBI has its headquarters in Mumbai and regional offices in major cities across India. It is composed of a chairman and other full-time and part-time members appointed by the central government of India. SEBI was established to protect investors, ensure orderly development of the securities market, and regulate securities exchanges. It performs various regulatory, developmental and protective functions towards these objectives, such as prohibiting insider trading and price manipulation.
Similar to Insider trading (20)
SECRETARIAL PRACTICE - Duties and responsibilities of Company secretary
SECRETARIAL PRACTICE - Duties and responsibilities of Company secretary
ย
SECRETARIAL PRACTICE - Duties, rights, liabillities of a company secretary
SECRETARIAL PRACTICE - Duties, rights, liabillities of a company secretary
ย
Public sector breakfast club, February 2019, Exeter
Public sector breakfast club, February 2019, Exeter
ย
More from RajaKrishnan M
Shortcomings of Demat Account
A demat account allows investors to hold securities digitally and trade shares online. However, demat accounts also have some shortcomings. Demat accounts require yearly fees to cover maintenance costs and force investors to trade frequently online. This level of technology literacy and high trading frequency can prevent long-term investing and result in losses. Demat account holders must also monitor stockbroker activities and may need to agree to additional contracts.
Demat Account Services
A demat account allows investors to hold shares and securities in electronic format rather than physical certificates. It provides benefits like seamless and fast transfer of shares, facilitates digitally secured storage of investments, and easy tracking of trading activities. A demat account provides a convenient way to hold shares and securities by eliminating risks of theft, forgery or damage of physical certificates. It allows for immediate digital transfer of securities once a trade is approved. Demat accounts do not require a minimum balance of shares and one can hold multiple demat accounts linked to a single PAN number.
Depository Participant
Depository Participant,
Functions of Depository Participant,
Dfference between Depository Participant and Depository
Services provided in Mobile Banking
Mobile banking allows users to conduct financial transactions using a mobile device and provides services such as accessing account statements, monitoring term deposits, receiving account alerts, managing mutual funds and insurance policies, and accessing loan and card statements. It is a branch of e-commerce that uses information and communication technology for business and financial management, with mobile commerce classified into obtaining information, conducting transactions, and providing services related to a product or service.
Ombudsman scheme
The Ombudsman scheme provides independent dispute resolution between organizations and their customers. It was first established in Sweden in 1915 and has since been adopted by many governments and private entities. The SEBI Ombudsman Regulations established the Ombudsman scheme in India in 2003 to handle investor complaints against listed companies and intermediaries. The Ombudsman investigates complaints, makes recommendations, provides guidance, monitors practices, and reports on complaints regarding issues like non-receipt of shares or funds. Complaints not resolved within one month can be referred to the Ombudsman.
Factors affecting share price
The document discusses factors that affect share prices, including supply and demand, interest rates, current events, and exchange rates. Supply and demand directly impact share prices, with prices rising when demand exceeds supply and falling when supply outweighs demand. Interest rates and monetary policy decisions also influence prices, with higher rates typically lowering prices. Current domestic and global events can positively or negatively impact investor sentiment and market prices. Exchange rates also play a role, as a stronger rupee against the dollar is often correlated with economic growth and higher stock values.
Rights of investors
This document outlines the rights of investors as shareholders, debenture holders, and security holders. As a shareholder, investors have rights to receive dividends and inspect company records. They can also apply to have meetings called or the company wound up. As a group, shareholders can call extraordinary meetings and demand polls. As debenture holders, investors are entitled to interest payments and can take action if debentures are in default. The document stresses that investors have responsibilities to be informed, vigilant, and participate in company meetings by exercising their rights individually or as a group.
Loss of Confidence of small investors
Small investor confidence can affect stock prices, with rising confidence leading to bull markets and falling confidence resulting in bear markets. Factors like company news, economic conditions, and regulatory actions influence investor confidence. The Securities and Exchange Board of India (SEBI) regulates India's securities market, but small investors may lose confidence in SEBI due to regulatory failures, lack of awareness about SEBI's role, perceived inefficiencies, or rampant insider trading. This could have negative effects like reduced market participation and investment from small investors. To regain confidence, SEBI must address transparency, communication, and strict enforcement against fraud and insider trading.
Facilities by BSE
The Bombay Stock Exchange (BSE) is the oldest stock exchange in Asia and provides various facilities to members and investors including trading, clearing and settlement, listing, market data, investor services, and international services. BSE offers a platform for trading various financial instruments, a comprehensive clearing and settlement system, listing services for companies, real-time market data and statistics, online trading and education for investors, and access to global markets through international partnerships.
Technological forces fueling e-commerce
This document discusses key trends driving e-commerce growth including omnichannel presence, extensive personalization, shift to mobile, conversational marketing, AI/chatbots, image search, and efficient checkout processes. It explains how technologies like video chat, co-browsing, and e-signatures allow for interconnected customer experiences across channels. Personalization is highlighted as important for understanding customer preferences and behavior. Mobile platforms and apps, location-based marketing, and augmented reality are increasing in importance.
Encryption and Decryption
Encryption is the process of converting a readable plaintext message into an unreadable cipher text message. Decryption is the reverse process of converting cipher text back into a readable plaintext format. The encryption process uses a public key at the sender's end to encrypt the message into unreadable cipher text. Decryption uses a private key at the receiver's end to decode the cipher text back into the original readable plaintext message. Encryption and decryption ensure secure transmission and storage of sensitive data that can only be accessed by authorized parties with the proper keys.
Meaning, Anatomy and Forces Fueling e-commerce
E-commerce involves the buying and selling of goods and services over the Internet. It can occur between businesses, businesses and consumers, consumers and businesses, and consumers directly. E-commerce uses electronic means like websites to facilitate commercial transactions. It requires large multimedia storage servers to hold content like audio, video, images and text. Information is delivered to consumer access devices through telecom, cable, computer or wireless networks. Three key forces fueling the growth of e-commerce are economic factors like lower costs, marketing advantages of new channels and personalized service, and advancing digital technologies.
Forces Fueling e-commerce
E-commerce is the process of buying, selling, or exchanging products, services, and information via electronic networks and computers. It allows consumers to exchange goods and services without barriers of time or distance. Key drivers of e-commerce growth include economic, technological, market, and social factors. Economically, e-commerce enables lower-cost interactions between businesses and partners, cheaper advertising and customer service, and higher profits through reduced overhead.
Inter Organizational e-commerce
This document discusses interorganizational systems (IOS) and e-commerce. It defines IOS as occurring between two or more organizations collaborating and sharing information. It describes different levels of IOS including individual organizations, networks themselves, and wider communities. It also outlines types of IOS at different technological stages from pre-internet to modern web 2.0 systems. Key benefits of IOS include enabling efficient supply chain management, facilitating technology exchange, allowing for global communication, and reducing business risks.
Factors for the success of m-commerce
This document discusses five factors that influence the adoption of mobile commerce (m-commerce): perceived usefulness, perceived ease of use, perceived trust, perceived cost, and perceived privacy. It provides definitions and explanations of each factor, describing how researchers have proposed that higher perceptions of usefulness, ease of use, trust, and privacy as well as lower perceptions of cost would positively influence consumers' adoption of m-commerce.
Advantages of E-Commerce
This document discusses the advantages and disadvantages of e-commerce. Some key advantages include low financial costs to start an e-business, the ability to operate 24/7 globally, and easily gaining customer data. However, disadvantages include sites crashing and customers being unable to try products before buying. Additionally, e-commerce faces high competition, potential quality issues, and security/technical challenges from poor implementation or evolving standards.
Types of E-Commerce
This document outlines 7 types of e-commerce business models:
1) Business-to-Business (B2B) where businesses sell products to other businesses for resale.
2) Business-to-Consumer (B2C) where businesses sell directly to consumers through websites like Amazon and Flipkart.
3) Consumer-to-Consumer (C2C) where individuals sell used goods to other consumers through sites like OLX and Quickr.
E-Commerce and E- Businesss
E-commerce refers to the buying and selling of goods and services, and the transfer of funds and data, over the internet. It allows for commercial transactions between businesses and consumers with no barriers of time or distance. While e-commerce involves commercial transactions via the internet, e-business relies entirely on the internet for all company activities from procurement to marketing to sales. E-commerce has grown exponentially in recent decades, emerging in the 1970s on private networks and accelerating with the creation of the world wide web and first online stores in the early 1990s.
RFID
This document discusses several topics related to mobile computing and m-commerce. It begins with an overview of RFID technology, including the basic components and types of RFID tags. It then covers WiMAX and how it provides wireless broadband connectivity over large areas. Finally, it discusses SMS and its use for short text messages. The document also outlines some security issues and safety measures for mobile computing.
Electronic Data Interchange & Internet
The document discusses electronic data interchange (EDI) and the internet. It defines EDI as the electronic exchange of business documents between organizations in a standardized format. Common documents exchanged via EDI include invoices, purchase orders, and shipping notices. The document also outlines several benefits of EDI for industries like retail, manufacturing, and automobiles. It provides a brief history of the internet and defines key terms like protocols and the world wide web. EDI is useful for regular exchanges between business partners in industries like supply chain management.
More from RajaKrishnan M (20)
Recently uploaded
CapTechTalks Webinar Slides June 2024 Donovan Wright.pptx
Slides from a Capitol Technology University webinar held June 20, 2024. The webinar featured Dr. Donovan Wright, presenting on the Department of Defense Digital Transformation.
Leveraging Generative AI to Drive Nonprofit Innovation
In this webinar, participants learned how to utilize Generative AI to streamline operations and elevate member engagement. Amazon Web Service experts provided a customer specific use cases and dived into low/no-code tools that are quick and easy to deploy through Amazon Web Service (AWS.)
How to Predict Vendor Bill Product in Odoo 17
This slide will guide us through the process of predicting vendor bill products based on previous purchases from the vendor in Odoo 17.
BIOLOGY NATIONAL EXAMINATION COUNCIL (NECO) 2024 PRACTICAL MANUAL.pptx
Practical manual for National Examination Council, Nigeria.
Contains guides on answering questions on the specimens provided
Philippine Edukasyong Pantahanan at Pangkabuhayan (EPP) Curriculum
(๐๐๐ ๐๐๐) (๐๐๐ฌ๐ฌ๐จ๐ง ๐)-๐๐ซ๐๐ฅ๐ข๐ฆ๐ฌ
๐๐ข๐ฌ๐๐ฎ๐ฌ๐ฌ ๐ญ๐ก๐ ๐๐๐ ๐๐ฎ๐ซ๐ซ๐ข๐๐ฎ๐ฅ๐ฎ๐ฆ ๐ข๐ง ๐ญ๐ก๐ ๐๐ก๐ข๐ฅ๐ข๐ฉ๐ฉ๐ข๐ง๐๐ฌ:
- Understand the goals and objectives of the Edukasyong Pantahanan at Pangkabuhayan (EPP) curriculum, recognizing its importance in fostering practical life skills and values among students. Students will also be able to identify the key components and subjects covered, such as agriculture, home economics, industrial arts, and information and communication technology.
๐๐ฑ๐ฉ๐ฅ๐๐ข๐ง ๐ญ๐ก๐ ๐๐๐ญ๐ฎ๐ซ๐ ๐๐ง๐ ๐๐๐จ๐ฉ๐ ๐จ๐ ๐๐ง ๐๐ง๐ญ๐ซ๐๐ฉ๐ซ๐๐ง๐๐ฎ๐ซ:
-Define entrepreneurship, distinguishing it from general business activities by emphasizing its focus on innovation, risk-taking, and value creation. Students will describe the characteristics and traits of successful entrepreneurs, including their roles and responsibilities, and discuss the broader economic and social impacts of entrepreneurial activities on both local and global scales.
Level 3 NCEA - NZ: A Nation In the Making 1872 - 1900 SML.ppt
The History of NZ 1870-1900.
Making of a Nation.
From the NZ Wars to Liberals,
Richard Seddon, George Grey,
Social Laboratory, New Zealand,
Confiscations, Kotahitanga, Kingitanga, Parliament, Suffrage, Repudiation, Economic Change, Agriculture, Gold Mining, Timber, Flax, Sheep, Dairying,
ู
ุตุญู ุงููุฑุงุกุงุช ุงูุนุดุฑ ุฃุนุฏ ุฃุญุฑู ุงูุฎูุงู ุณู
ูุฑ ุจุณูููู.pdf
ู
ุตุญู ุงููุฑุงุกุงุช ุงูุนุดุฑ ุฃุนุฏ ุฃุญุฑู ุงูุฎูุงู ุณู
ูุฑ ุจุณูููู.pdfุณู
ูุฑ ุจุณูููู
ู
ุตุญู ุฃุญุฑู ุงูุฎูุงู ูููุฑุงุก ุงูุนุดุฑุฉุฃุนุฏ ุฃุญุฑู ุงูุฎูุงู ุจุงูุชูููู ูุตูุง ุณู
ูุฑ ุจุณูููู ุบูุฑ ุงููู ููย
A Free 200-Page eBook ~ Brain and Mind Exercise.pptx
(A Free eBook comprising 3 Sets of Presentation of a selection of Puzzles, Brain Teasers and Thinking Problems to exercise both the mind and the Right and Left Brain. To help keep the mind and brain fit and healthy. Good for both the young and old alike.
Answers are given for all the puzzles and problems.)
With Metta,
Bro. Oh Teik Bin ๐๐ค๐ค๐ฅฐ
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 8 - Cแบข NฤM - FRIENDS PLUS - NฤM HแปC 2023-2024 (B...
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 8 - Cแบข NฤM - FRIENDS PLUS - NฤM HแปC 2023-2024 (B...Nguyen Thanh Tu Collection
https://app.box.com/s/nrwz52lilmrw6m5kqeqn83q6vbdp8yzpย
Benner "Expanding Pathways to Publishing Careers"
Benner "Expanding Pathways to Publishing Careers"National Information Standards Organization (NISO)
This presentation was provided by Rebecca Benner, Ph.D., of the American Society of Anesthesiologists, for the second session of NISO's 2024 Training Series "DEIA in the Scholarly Landscape." Session Two: 'Expanding Pathways to Publishing Careers,' was held June 13, 2024.ย
How Barcodes Can Be Leveraged Within Odoo 17
In this presentation, we will explore how barcodes can be leveraged within Odoo 17 to streamline our manufacturing processes. We will cover the configuration steps, how to utilize barcodes in different manufacturing scenarios, and the overall benefits of implementing this technology.
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 9 Cแบข NฤM - GLOBAL SUCCESS - NฤM HแปC 2024-2025 - ...
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 9 Cแบข NฤM - GLOBAL SUCCESS - NฤM HแปC 2024-2025 - ...Nguyen Thanh Tu Collection
https://app.box.com/s/tacvl9ekroe9hqupdnjruiypvm9rdaneย
Accounting for Restricted Grants When and How To Record Properly
In this webinar, member learned how to stay in compliance with generally accepted accounting principles (GAAP) for restricted grants.
THE SACRIFICE HOW PRO-PALESTINE PROTESTS STUDENTS ARE SACRIFICING TO CHANGE T...
The recent surge in pro-Palestine student activism has prompted significant responses from universities, ranging from negotiations and divestment commitments to increased transparency about investments in companies supporting the war on Gaza. This activism has led to the cessation of student encampments but also highlighted the substantial sacrifices made by students, including academic disruptions and personal risks. The primary drivers of these protests are poor university administration, lack of transparency, and inadequate communication between officials and students. This study examines the profound emotional, psychological, and professional impacts on students engaged in pro-Palestine protests, focusing on Generation Z's (Gen-Z) activism dynamics. This paper explores the significant sacrifices made by these students and even the professors supporting the pro-Palestine movement, with a focus on recent global movements. Through an in-depth analysis of printed and electronic media, the study examines the impacts of these sacrifices on the academic and personal lives of those involved. The paper highlights examples from various universities, demonstrating student activism's long-term and short-term effects, including disciplinary actions, social backlash, and career implications. The researchers also explore the broader implications of student sacrifices. The findings reveal that these sacrifices are driven by a profound commitment to justice and human rights, and are influenced by the increasing availability of information, peer interactions, and personal convictions. The study also discusses the broader implications of this activism, comparing it to historical precedents and assessing its potential to influence policy and public opinion. The emotional and psychological toll on student activists is significant, but their sense of purpose and community support mitigates some of these challenges. However, the researchers call for acknowledging the broader Impact of these sacrifices on the future global movement of FreePalestine.
Wound healing PPT
This document provides an overview of wound healing, its functions, stages, mechanisms, factors affecting it, and complications.
A wound is a break in the integrity of the skin or tissues, which may be associated with disruption of the structure and function.
Healing is the bodyโs response to injury in an attempt to restore normal structure and functions.
Healing can occur in two ways: Regeneration and Repair
There are 4 phases of wound healing: hemostasis, inflammation, proliferation, and remodeling. This document also describes the mechanism of wound healing. Factors that affect healing include infection, uncontrolled diabetes, poor nutrition, age, anemia, the presence of foreign bodies, etc.
Complications of wound healing like infection, hyperpigmentation of scar, contractures, and keloid formation.
HYPERTENSION - SLIDE SHARE PRESENTATION.
IT WILL BE HELPFULL FOR THE NUSING STUDENTS
IT FOCUSED ON MEDICAL MANAGEMENT AND NURSING MANAGEMENT.
HIGHLIGHTS ON HEALTH EDUCATION.
Recently uploaded (20)
CapTechTalks Webinar Slides June 2024 Donovan Wright.pptx
CapTechTalks Webinar Slides June 2024 Donovan Wright.pptx
ย
Leveraging Generative AI to Drive Nonprofit Innovation
Leveraging Generative AI to Drive Nonprofit Innovation
ย
BIOLOGY NATIONAL EXAMINATION COUNCIL (NECO) 2024 PRACTICAL MANUAL.pptx
BIOLOGY NATIONAL EXAMINATION COUNCIL (NECO) 2024 PRACTICAL MANUAL.pptx
ย
Philippine Edukasyong Pantahanan at Pangkabuhayan (EPP) Curriculum
Philippine Edukasyong Pantahanan at Pangkabuhayan (EPP) Curriculum
ย
Level 3 NCEA - NZ: A Nation In the Making 1872 - 1900 SML.ppt
Level 3 NCEA - NZ: A Nation In the Making 1872 - 1900 SML.ppt
ย
REASIGNACION 2024 UGEL CHUPACA 2024 UGEL CHUPACA.pdf
REASIGNACION 2024 UGEL CHUPACA 2024 UGEL CHUPACA.pdf
ย
ู
ุตุญู ุงููุฑุงุกุงุช ุงูุนุดุฑ ุฃุนุฏ ุฃุญุฑู ุงูุฎูุงู ุณู
ูุฑ ุจุณูููู.pdf
ู
ุตุญู ุงููุฑุงุกุงุช ุงูุนุดุฑ ุฃุนุฏ ุฃุญุฑู ุงูุฎูุงู ุณู
ูุฑ ุจุณูููู.pdf
ย
spot a liar (Haiqa 146).pptx Technical writhing and presentation skills
spot a liar (Haiqa 146).pptx Technical writhing and presentation skills
ย
A Free 200-Page eBook ~ Brain and Mind Exercise.pptx
A Free 200-Page eBook ~ Brain and Mind Exercise.pptx
ย
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 8 - Cแบข NฤM - FRIENDS PLUS - NฤM HแปC 2023-2024 (B...
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 8 - Cแบข NฤM - FRIENDS PLUS - NฤM HแปC 2023-2024 (B...
ย
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 9 Cแบข NฤM - GLOBAL SUCCESS - NฤM HแปC 2024-2025 - ...
BรI TแบฌP Bแป TRแปข TIแบพNG ANH LแปP 9 Cแบข NฤM - GLOBAL SUCCESS - NฤM HแปC 2024-2025 - ...
ย
Accounting for Restricted Grants When and How To Record Properly
Accounting for Restricted Grants When and How To Record Properly
ย
THE SACRIFICE HOW PRO-PALESTINE PROTESTS STUDENTS ARE SACRIFICING TO CHANGE T...
THE SACRIFICE HOW PRO-PALESTINE PROTESTS STUDENTS ARE SACRIFICING TO CHANGE T...
ย
Insider trading
- 2. Meaning: ** Insider trading is the trading of a public company's stock or other securities by individual with access to non public information about the company. ** It is illegal. ** Unfair to other investors who do not have access to the information.
- 3. Types of insiders: โข โข Types of insiders โข โข โข โข โข 1) Primary insider โข 2) Secondary insider
- 4. Primary insiders # Directors # Merchant bankers # Registrar # Brokers # Top Executive # Banker # Auditor
- 5. Secondary insiders: 1) Dealers 2) Agents 3) Other Employees
- 6. Insider information # Financial result # Intended declaration of dividend # Issue of share by way of PRB # Major expansion # Amalgamation, Merger& Takeover # Disposal of undertaking # Policy changes # Any other information that effects earnings of the company.
- 7. Connected person 1) Director 2) Deemed to be director 3) Officer/ Employees 4) Professional/ business r'ship
- 8. Deemed connected person 1) Same management 2) Member - stock exchange or clearing house 3) Merchant banker 4) Board of directors 5) Self regulatory organisation 6) Relative of an employees 7) Banker
- 9. Prohibition of insider trading Insider trading is illegal * No communication of company information * No dealing with unpublished information of the company * No counsel ~SEBI's action- 5 lakhs penalty ~Criminal prosecution ~Prohibited dealing