This document discusses investor protection and the role of regulators in India. It covers the concepts of investor protection, the various types of investors, and the laws and agencies involved in protecting investors, including SEBI, RBI, and various government ministries and committees. It also outlines the compliances required by companies, methods for investor grievance redressal, and securities market awareness campaigns to educate investors. In conclusion, the key roles of regulatory bodies are protecting investor interests, promoting transparency, and maintaining confidence in the stock market through coordinated efforts and investor education.

1. Investor Protection
Role of the Regulator
Astha Misra
S. Prathyusa
Shalini Wunnava
LL.M. (Banking and Finance)
National Law University, Jodhpur

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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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