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Securities and exchange board of india
The Securities and Exchange Board of India (SEBI) is the apex regulatory body for the securities market in India. It was established to protect investors, maintain fair practices, and promote the development of the securities market. SEBI regulates stock exchanges, trading of securities, registration of market intermediaries, and issues guidelines for companies regarding public offers. It aims to educate investors and enforce regulations regarding insider trading, disclosure requirements, and corporate governance.
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Securities and exchange board of india
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- 2. Table Of Contents Introduction to SEBI Objectives of SEBI Purpose and Role of SEBI Functions of SEBI SEBI guidelines regarding Issue Pre Issue Regulations Post Issue Regulations SEBI Reforms Guidelines To Investors Limitations of SEBI
- 3. Introduction to SEBI The Securities and Exchange Board of India is the apex regulatory and development agency of the Capital Market and Stock Exchanges in India.
- 4. Objectives Of SEBI Regulation of the Stock Exchange Protection of the interest of the investors Checking the insider trading Code of conduct
- 5. Purpose and Roleof SEBI SEBI was set up with the main purpose to check on malpractices. It was set up to meet the needs of three groups: Insurers Investors Intermediaries
- 6. Functions Of SEBI Regulatory Functions: Registration of brokers and agents Notifications of Rules and regulations Levying of fees Regulator of investment schemes Inspections and enquiries
- 7. Cont… Developmental functions: Investor Education Training to intermediaries Promotion of fair trade Research Promotion of fair practices as a code of conduct for all S.R.Os.
- 8. SEBI Guidelines regarding Issue SEBI has certain rules and regulations that are to be followed during this issue process of any company These obligations or more importantly rules and regulations are with regards to the Merchant Banker who has to follow it in the pre-issue and post-issue cases
- 9. Pre Issue Regulations Documents to be submitted along with offer document Memorandum of Understanding(MOU) Inter-se Allocation of Responsibilities Due-Diligence Certificate Undertaking List of promoters’ group and Other details
- 10. Cont… Appointment ofintermediaries Appointment of other intermediaries Underwriting Offer Documents to be made Public No-Complaint Certificate Mandatory-collection centers Authorized Collection agents Abridged prospectus Agreement with Depositories
- 11. Post-Issue Regulations Postissue monitoring reports Redressal of Investor Grievances Coordination with intermediaries Underwriters Bankers to an Issue Other responsibilities
- 12. SEBI reforms REFORMSON STOCK EXCHANGES Compulsory audit Transparency Capital Adequacy New Guidelines for Corporate Members
- 13. Guidelines to Investors Registered Member Trading Ring Insist On Delivery Complain Special Arrangement Delays or Harassment lying down.
- 14. Limitations of SEBI Limited Transparency Government Interference Interest of small investors is hampered Failed to check speculation Fraudulent activities
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