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SecuritiesAND ExchangeBoard Of
India(SEBI)
-Prof. Pushkar Parulekar
FMPI
GROUPMEMBERS
NAME ROLL NO.
ASHWINI AGAVNE B-02
SNEHA DIXIT B-15
SHWETA MORE B-36
SAYALI PHATAK B-44
NIKITA RATHOD B-46
TUSHAR SADHYE B-47
History
The Securities and Exchange Board of India was established by
the Government of India on 12th April 1988 as an interim
administration body to promote orderly and healthy growth of
the securities market and for investor protection.
It was functioned under the overall administrative control of
the Ministry of Finance of the GOI.
The SEBI was given the statutory powers on 30th Jan 1992
through an Ordinance.
The Ordinance was later replaced by an Act of Parliament
known as the Securities and Exchange Board of India Act 1992.
TheBoard
Shri. U. K. Sinha,
Chairman, SEBI
Shri. Rajeev Kumar Agarwal
Whole-Time Member, SEBI
Shri. Prashant Saran
Whole-Time Member, SEBI
Shri. Manoj Joshi
Joint Secretary,
Department of
Economic Affairs,
Ministry of Finance
Shri. Naved Masood
Secretary,
Ministry of Corporate
Affairs
Shri. Prakash Chandra
Chhotaray
IRS (Retired Chairman
of IncomeTax Settlement
Commission
Shri. R Gandhi
Deputy Governor
Reserve Bank of
India
Shri. S. Raman
Whole-Time Member,
SEBI
Objectives
To regulates stock exchanges and the securities industry and
to promote their orderly functioning.
To guide, educate and protect the right and interests of
individual investors.
To prevent inside trading that means buying and selling os
securities by those People’s ,Directors ,Promoters ,etc who
have some secret information about the co. & who wish to
take advantage of this secret information.
To regulate and develop a code of conduct and fair practices
by brokers, merchant bankers with a view to make them
competitive and proffessional.
FUNCTIONSOF SEBI
• The SEBI performs functions to meet its objectives. To meet
the objectives SEBI has three important functions-
 Protective Functions
 It ChecksPriceRigging
 It ProhibitsInsider trading
 SEBI prohibitsfraudulent and Unfair TradePractices
 Developmental Functions
 Regulatory Functions
SEBIGuidelines regarding Companies Act
• Free pricing of issues. A new issue can be priced freely provided
it is backed by promoters with good track record of at least 5
years.
• Underwriting made mandatory. The new guidelines issued by
SEBI have directed full underwriting of public issue.
• Issue of shares at par. A new company with no previous track
record will be permitted to issue capital only at par.
• Promoters contribution is fixed at 25% of total issue of less than
Rs. 100 crores size and 20% of the issues above Rs. 100 crores
• For public issue of existing listed companies, the issuer will have
to disclose the high and low prices of the shares for the last 2
years.
• No bonus issue shall be made within 12 months of any public
issue or right issue.
SEBI GUIDELINESREGARDING MERCHANT
BANKERS
MBs are intermediaries who perform the activity of pre-issue and post-issue
management activity and also act as co-mangers, underwriters, portfolio
managers and advisors. Guidelines framed by govt.:-
 Categories of Merchant Bankers
a. CAT I- MBs who conduct all above activities. They also act as co-managers,
underwriters or portfolio managers.
b. CAT II- MBs who can act as advisors, consultants, co-managers and portfolio
managers.
c. CAT-III- MBs act as underwriters, advisors and consultants.
d. CAT-IV- MBs act as advisors or consultants to an issue.
 Certificate of registration:--
a. Minimum adequacy norms in terms of its net worth is satisfied by each
category of MBs.
b. They have necessary infrastructure, office , space, equipment and
manpower.
c. They employ at least 2 persons competent to handle merchant banking
business.
d. They are not involved in any litigation connected with security market.
e. They pay the prescribed fees.
Contd…
 Capital Adequacy Norms
No. of MBs depending on the size of issue
Category 1 MB’s Rs. 5 Crores
Category 2 MB’s Rs. 50 Lakhs
Category 3 MB’s Rs. 20 Lakhs
Category 4 MB’s NIL
Size of Issue Max No. of MB’s
Below Rs. 50 Crores 2
Rs. 50 to Rs. 100 Crores 3
Rs. 100 to Rs. 200 Crores 4
Rs. 200 to Rs. 400 Crores 5
Rs. 400 and above More Than 5
Current Plansof SEBI
To impose restrictions on willful defaulters
To overhaul of private investment fund
regulation
To reduce listing time period for firms
Risk profiling of listed firms intermediaries
To introduce mutual fund retirement plans
with tax benefits
Current trend merger of fmc and
sebi
Brought by Mr. Arun Jaitley in Union Budget
2015
FMC regulate future trading
SEBI regulates trading in equity and equity
derivatives
Ensure better monitoring of the commodity
futures trading and club wild speculation
Need amendments to SCRA as well as FCRA
Investment OptionsAvailable
FOREIGN INSTITUTIONAL INVESTOR
INVESTMENTS
The term is used most commonly in India to refer to
outside companies investing in the financial  markets
of India.
International institutional investors must register with
the Securities and Exchange Board of India to
participate in the market.
One of the major market regulations pertaining to FIIs
involves placing limits on FII ownership in Indian
Companies.
Mutual Funds
A mutual fund is a type of professionally
managed investment fund that pools money from
many investors to purchase securities.
 3 types of mutual funds:
 Open-ended funds
 Closed-ended funds
 Unit investment trusts
Corporate Bonds
A corporate bond is a bond issued by
a corporation in order to raise financing for a variety
of reasons such as to ongoing operations, M&A, or
to expand business.
Major Challengesfaced by
SEBI
Cross Border Trading
Issuers & Investors are expanding their horizons
beyond their home markets
Investors becoming much more demanding
Penetration of mutual fund in India
SEBI

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SEBI

  • 2. GROUPMEMBERS NAME ROLL NO. ASHWINI AGAVNE B-02 SNEHA DIXIT B-15 SHWETA MORE B-36 SAYALI PHATAK B-44 NIKITA RATHOD B-46 TUSHAR SADHYE B-47
  • 3. History The Securities and Exchange Board of India was established by the Government of India on 12th April 1988 as an interim administration body to promote orderly and healthy growth of the securities market and for investor protection. It was functioned under the overall administrative control of the Ministry of Finance of the GOI. The SEBI was given the statutory powers on 30th Jan 1992 through an Ordinance. The Ordinance was later replaced by an Act of Parliament known as the Securities and Exchange Board of India Act 1992.
  • 5. Shri. U. K. Sinha, Chairman, SEBI Shri. Rajeev Kumar Agarwal Whole-Time Member, SEBI Shri. Prashant Saran Whole-Time Member, SEBI Shri. Manoj Joshi Joint Secretary, Department of Economic Affairs, Ministry of Finance Shri. Naved Masood Secretary, Ministry of Corporate Affairs Shri. Prakash Chandra Chhotaray IRS (Retired Chairman of IncomeTax Settlement Commission Shri. R Gandhi Deputy Governor Reserve Bank of India Shri. S. Raman Whole-Time Member, SEBI
  • 6. Objectives To regulates stock exchanges and the securities industry and to promote their orderly functioning. To guide, educate and protect the right and interests of individual investors. To prevent inside trading that means buying and selling os securities by those People’s ,Directors ,Promoters ,etc who have some secret information about the co. & who wish to take advantage of this secret information. To regulate and develop a code of conduct and fair practices by brokers, merchant bankers with a view to make them competitive and proffessional.
  • 7. FUNCTIONSOF SEBI • The SEBI performs functions to meet its objectives. To meet the objectives SEBI has three important functions-  Protective Functions  It ChecksPriceRigging  It ProhibitsInsider trading  SEBI prohibitsfraudulent and Unfair TradePractices  Developmental Functions  Regulatory Functions
  • 8.
  • 9. SEBIGuidelines regarding Companies Act • Free pricing of issues. A new issue can be priced freely provided it is backed by promoters with good track record of at least 5 years. • Underwriting made mandatory. The new guidelines issued by SEBI have directed full underwriting of public issue. • Issue of shares at par. A new company with no previous track record will be permitted to issue capital only at par. • Promoters contribution is fixed at 25% of total issue of less than Rs. 100 crores size and 20% of the issues above Rs. 100 crores • For public issue of existing listed companies, the issuer will have to disclose the high and low prices of the shares for the last 2 years. • No bonus issue shall be made within 12 months of any public issue or right issue.
  • 10. SEBI GUIDELINESREGARDING MERCHANT BANKERS MBs are intermediaries who perform the activity of pre-issue and post-issue management activity and also act as co-mangers, underwriters, portfolio managers and advisors. Guidelines framed by govt.:-  Categories of Merchant Bankers a. CAT I- MBs who conduct all above activities. They also act as co-managers, underwriters or portfolio managers. b. CAT II- MBs who can act as advisors, consultants, co-managers and portfolio managers. c. CAT-III- MBs act as underwriters, advisors and consultants. d. CAT-IV- MBs act as advisors or consultants to an issue.  Certificate of registration:-- a. Minimum adequacy norms in terms of its net worth is satisfied by each category of MBs. b. They have necessary infrastructure, office , space, equipment and manpower. c. They employ at least 2 persons competent to handle merchant banking business. d. They are not involved in any litigation connected with security market. e. They pay the prescribed fees.
  • 11. Contd…  Capital Adequacy Norms No. of MBs depending on the size of issue Category 1 MB’s Rs. 5 Crores Category 2 MB’s Rs. 50 Lakhs Category 3 MB’s Rs. 20 Lakhs Category 4 MB’s NIL Size of Issue Max No. of MB’s Below Rs. 50 Crores 2 Rs. 50 to Rs. 100 Crores 3 Rs. 100 to Rs. 200 Crores 4 Rs. 200 to Rs. 400 Crores 5 Rs. 400 and above More Than 5
  • 12. Current Plansof SEBI To impose restrictions on willful defaulters To overhaul of private investment fund regulation To reduce listing time period for firms Risk profiling of listed firms intermediaries To introduce mutual fund retirement plans with tax benefits
  • 13. Current trend merger of fmc and sebi Brought by Mr. Arun Jaitley in Union Budget 2015 FMC regulate future trading SEBI regulates trading in equity and equity derivatives Ensure better monitoring of the commodity futures trading and club wild speculation Need amendments to SCRA as well as FCRA
  • 14. Investment OptionsAvailable FOREIGN INSTITUTIONAL INVESTOR INVESTMENTS The term is used most commonly in India to refer to outside companies investing in the financial  markets of India. International institutional investors must register with the Securities and Exchange Board of India to participate in the market. One of the major market regulations pertaining to FIIs involves placing limits on FII ownership in Indian Companies.
  • 15. Mutual Funds A mutual fund is a type of professionally managed investment fund that pools money from many investors to purchase securities.  3 types of mutual funds:  Open-ended funds  Closed-ended funds  Unit investment trusts Corporate Bonds A corporate bond is a bond issued by a corporation in order to raise financing for a variety of reasons such as to ongoing operations, M&A, or to expand business.
  • 16. Major Challengesfaced by SEBI Cross Border Trading Issuers & Investors are expanding their horizons beyond their home markets Investors becoming much more demanding Penetration of mutual fund in India