This document discusses investor protection and the role of regulators in India. It outlines the different types of investors that require protection, including equity investors, large institutions, foreigners, debenture holders, and small investors. It also describes the various laws and compliance measures related to investor protection in company law, securities law, and other regulations. Finally, it discusses the agencies involved in investor protection like SEBI, RBI, and others, and mechanisms for grievance redressal and securities market awareness campaigns.

1. Investor Protection
Role of the Regulator
Submitted By –
Astha Misra (598)
S. Prathyusa (606)
Shalini Wunnava (610)
LL.M. (Banking and Finance)
National Law University, Jodhpur
Submitted to –
Dr. Rituparna Das
Associate Professor
National Law University, Jodhpur
Submitted Towards Continuous Assessment for the subject Financial
Market and Regulatory System

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CONCEPT OF INVESTOR PROTECTION
 Investors in Equity;
 Large Institutional Investors;
 Foreign Investors;
 Investors in Debentures; and
 Small Investors/Deposit Holders

3. SPECIFIC Law
• No Separate Law
• It is present in varied laws
– Company law
– Securities Law
– DIP Guidelines
– ICDR Regulation

4. AGENCIES INVOLVED
 SEBI
 RBI
 PFRDA
 Ministry of Finance
 Ministry of Corporate Affair
 Credit Rating Agencies
 Depositories
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5. COMPLIANCES
 Independent Directors;
 Appoint Audit;
 Remuneration;
 Stakeholders Relationship Committees;
 Deposit Insurance;
 Undertake Credit Rating;
 Adequate Cash Reserves;
 Sponsor Bank
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6. INVESTOR GRIEVANCE REDRESSAL
 Company Law Board/Tribunal
 High Court
 Consume Complaint
 Capital Market Ombudsman
 SEBI/SAT
 Investors’ Associations
 SHG’s
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7. SECURITIES MARKET AWARENESS
CAMPAIGN
• Launched in Jan. 17, 2003.
• Workshops
• Advertisement
• Educative Materials
• Cautionary Message on television/
radio
• Internet based response system
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8. CONCLUSION
The regulatory bodies attempt to –
– Interest of investors
– Transparency
– Not in isolation
– Investor education
– Confidence in stock market
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