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SEBI
 During World War-2, the got hit with
financial crises. The Country need to
channelize the flow of money towards the
essential commodities.
 The temporary measure continued after
the war & culminated into the Capital Issue
(Control) Act, 1947.
 They were called as Controller of Capital
To further the growth of companies with
sound Capital Structure.
To avoid over-crowding of PUBLIC issues
in a particular period.
To ensure that investment take place in
confirmatory with the objective of 5-year
plan.
To ensure orderly & healthy growth of
capital markets with adequate protection to
investors.
Entrusted with responsibility of regulating
capital issue in India.
CCI was vested with powers to approve
the kind of instrument.
Lack of knowledge of present demand.
Government realized growth demand of
capital market activities.
CCI failure should be over-come.
So, “Enactment of Companies & Securities
Contracts” ACT was introduced in 1956.
Major industrial policy changed during 6th
five-year plan.
Economy open to outer world.
Greater role of Private sector players
immerged.
1st time, securities market shows potentials
in both savings of household & efficiency
of industrial development.
Companies started raising funds from
capital Market through DEBT instruments.
Manipulation of Security Price:
Artificially push-up the prices before the
issues of securities. this process starts
before company seeks permission from
Government.
Price-Rigging:
Three or Four parties buy & sell Stocks
among them-selves and push the prices
up.
Insider Trading:
Trading of public company’s stock or other
securities by an individuals with access to
non-public information about the company.
Delay in Settlement:
The delay is noticed in giving delivery of
shares , making payment to the clients &
passing contract note.
Lack of Diversity in Financial Market :
Lack of variety in Financial instruments.
Equity Shares & Convertibles Debentures
are seem to be only instrument in the
armory of the company.
Dis-closure of Financial Information :
The information issued by the company is
not adequate & relevant. It hamper
investor’s decisions for investment.
Preponderance of Speculative Trading :
Major portion of transaction is done by
SPECULATIVE motive. Due to this , a
small fraction of transaction represent
purchase/sale by genuine investors.
Lack of Control over Brokers :
No proper control over activities of
brokers. Numbers of un-listed brokers in
the market.
Poor Liquidity:
Small portion of shares are actively traded
& are highly liquid in nature. Maximum
shares in the stock market suffers from poor
liquidity as these shares are low active in
tradeing.
Government was in need to develop an
apex body to develop & regulate the stock
market in INDIA.
Securities & Exchange Board Of India(SEBI)
was introduced in 18th April,1988. as a non
statutory body.
SEBI became full-fledge statutory body in
Securities & Exchange Board Of India Act-
1992
To protect the interest of investors, so that
there is a steady flow of saving into Capital
Market.
To regulate the securities market & ensure
fair practice by the issuers of securities so
that they can raise resources at minimum
cost.
To promote efficient services by brokers,
merchant bankers & other intermediaries
so that they become competitive &
Regulatory Function:
Regulation for stock exchange & self
regulatory organizations.
Regulation & Registration of stock brokers,
sub-brokers & all intermediaries who are
associated with securities market.
Regulation & Registration of the working of
collective investment schemes including
mutual funds.
Prohibition of fraudulent & unfair trade
practices related to securities market.
 Prohibition of insider trading in securities.
Developmental functions:
Promoting investor’s education.
Training of intermediaries.
Promoting self-regulatory organizations.
Promotion of fair practices & code of
conduct for self-regulatory organizations
To approve by−laws of stock exchanges.
(SEBI)
To require the stock exchange to amend
their by−laws.
Inspect the books of accounts and call for
periodical returns from recognized stock
exchanges.
Inspect the books of accounts of a
financial intermediaries.
Compel certain companies to list their
SEBI has divided it’s activities into four
operational department :-
a) Primary Market Department
b) Issue Management and Intermediaries
Department
c) Secondary Market Department
d) Institutional Investment Department
Primary Market Department:
It deals with all the policy matters &
regulatory issues relating to Primary
Market, market intermediaries & redressel
of investor grievances.
Issue Management and Intermediaries
Department:
It is concerned with vetting of offer
documents & other things like registration,
Secondary Market Department :
It look after all the policy & regulatory
issue for the secondary market;
administration of the major stock
exchanges & other matter related to it.
Institutional Investment Department :
It is concerned with framing policy for
foreign institutional investors, mutual funds
& other matters like publications,
SEBI

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SEBI

  • 2.  During World War-2, the got hit with financial crises. The Country need to channelize the flow of money towards the essential commodities.  The temporary measure continued after the war & culminated into the Capital Issue (Control) Act, 1947.  They were called as Controller of Capital
  • 3. To further the growth of companies with sound Capital Structure. To avoid over-crowding of PUBLIC issues in a particular period. To ensure that investment take place in confirmatory with the objective of 5-year plan. To ensure orderly & healthy growth of capital markets with adequate protection to investors.
  • 4. Entrusted with responsibility of regulating capital issue in India. CCI was vested with powers to approve the kind of instrument. Lack of knowledge of present demand.
  • 5. Government realized growth demand of capital market activities. CCI failure should be over-come. So, “Enactment of Companies & Securities Contracts” ACT was introduced in 1956.
  • 6. Major industrial policy changed during 6th five-year plan. Economy open to outer world. Greater role of Private sector players immerged. 1st time, securities market shows potentials in both savings of household & efficiency of industrial development. Companies started raising funds from capital Market through DEBT instruments.
  • 7. Manipulation of Security Price: Artificially push-up the prices before the issues of securities. this process starts before company seeks permission from Government. Price-Rigging: Three or Four parties buy & sell Stocks among them-selves and push the prices up.
  • 8. Insider Trading: Trading of public company’s stock or other securities by an individuals with access to non-public information about the company. Delay in Settlement: The delay is noticed in giving delivery of shares , making payment to the clients & passing contract note.
  • 9. Lack of Diversity in Financial Market : Lack of variety in Financial instruments. Equity Shares & Convertibles Debentures are seem to be only instrument in the armory of the company. Dis-closure of Financial Information : The information issued by the company is not adequate & relevant. It hamper investor’s decisions for investment.
  • 10. Preponderance of Speculative Trading : Major portion of transaction is done by SPECULATIVE motive. Due to this , a small fraction of transaction represent purchase/sale by genuine investors. Lack of Control over Brokers : No proper control over activities of brokers. Numbers of un-listed brokers in the market.
  • 11. Poor Liquidity: Small portion of shares are actively traded & are highly liquid in nature. Maximum shares in the stock market suffers from poor liquidity as these shares are low active in tradeing.
  • 12. Government was in need to develop an apex body to develop & regulate the stock market in INDIA. Securities & Exchange Board Of India(SEBI) was introduced in 18th April,1988. as a non statutory body. SEBI became full-fledge statutory body in Securities & Exchange Board Of India Act- 1992
  • 13. To protect the interest of investors, so that there is a steady flow of saving into Capital Market. To regulate the securities market & ensure fair practice by the issuers of securities so that they can raise resources at minimum cost. To promote efficient services by brokers, merchant bankers & other intermediaries so that they become competitive &
  • 14. Regulatory Function: Regulation for stock exchange & self regulatory organizations. Regulation & Registration of stock brokers, sub-brokers & all intermediaries who are associated with securities market. Regulation & Registration of the working of collective investment schemes including mutual funds.
  • 15. Prohibition of fraudulent & unfair trade practices related to securities market.  Prohibition of insider trading in securities.
  • 16. Developmental functions: Promoting investor’s education. Training of intermediaries. Promoting self-regulatory organizations. Promotion of fair practices & code of conduct for self-regulatory organizations
  • 17. To approve by−laws of stock exchanges. (SEBI) To require the stock exchange to amend their by−laws. Inspect the books of accounts and call for periodical returns from recognized stock exchanges. Inspect the books of accounts of a financial intermediaries. Compel certain companies to list their
  • 18. SEBI has divided it’s activities into four operational department :- a) Primary Market Department b) Issue Management and Intermediaries Department c) Secondary Market Department d) Institutional Investment Department
  • 19. Primary Market Department: It deals with all the policy matters & regulatory issues relating to Primary Market, market intermediaries & redressel of investor grievances. Issue Management and Intermediaries Department: It is concerned with vetting of offer documents & other things like registration,
  • 20. Secondary Market Department : It look after all the policy & regulatory issue for the secondary market; administration of the major stock exchanges & other matter related to it. Institutional Investment Department : It is concerned with framing policy for foreign institutional investors, mutual funds & other matters like publications,