Certificate Program on Security Laws


The Securities Laws Course is designed to provide specialised knowledge and a comparative study of legal and regulatory frameworks, the key take away of the program are:

  • Identify and execute the procedures necessary for public issues, rights issues, and preferential issues
  • SEBI's operation and role as the primary capital market regulator
  • Drafting prospectus and offering documents in cases of public offering of securities by a company;

  • Understanding the role of lawyers, accountants, analysts, investment bankers, rating agencies and financial intermediaries in various capital raising modes

    A) Securities Contracts( Regulation) Act 1956
  • Introduction to Capital Markets, Role of Primary and Secondary markets) Concept of Corporatization and Demutualization, Recognition of Stock Exchanges.
  • Rules & Bye Laws of Stock Exchanges, Contracts and Options in Securities, Listing and Delisting of Securities.
  • Offences and Penalties and procedures thereof, Appeals under SCRA, Misc Provisions

  • B) Securities and Exchange Board of India Act
  • Introduction to SEBI, Definitions, Constitution of the Board and its Management.
  • Powers and Functions of the Board, Collective Investment Schemes, Investigations by Board.
  • Registration of Intermediaries, Prohibition of Insider Trading.
  • Penalties and Adjudication.
  • Securities Appellate Tribunal (SAT), Appeals to Supreme Court

  • C) Public Issue Guidelines, Insider Trading and Takeover Code
  • SEBI (Issue of Capital and Disclosure Requirements) 2009
    •    • Definitions
    •    • Common conditions for Public Issues and Right Issues
    •    • Eligibility Requirements for Public Issues
    •    • Pricing of Public Issues
    •    • Promoter’s Contribution, Lock In Period on Promoter’s Contribution
    •    • Minimum Offer to Public
    •    • Book Building
    •    • Prospectus—Disclosures and Advt Norms
    •    • Preferential Issues
    •    • Rights Issues
    •    • QIP issues
  • Salient features of Regulations on Insider Trading
  • Salient features on Regulations on Takeover code

  • D) Understanding Financial Statements
  • Types of Financial Statements, Stakeholders in Business Organizations. Fixed Assets, Tangible and Intangible Assets, Depreciation and Amortization, Legal Provisions.
  • Operating Cycle (Working Capital Cycle), Management of Current Assets, Current Liabilities and Working Capital. Reporting requirements of Financial Statements, Indian Accounting Standards (IAS), and Provisions of Schedule III of Companies Act 2013.
  • Financial Ratios and use of these ratios in Analysis of Financial Statements.

  • E) FEMA Regulations
  • Regulations relating to Foreign Direct Investments and Portfolio Investment.
  • Regulations relating to Imports, Exports and Miscellaneous remittances from India.
  • Regulations relating to Overseas Investments by Indian Companies, Project Exports

  • F) Prevention of Money Laundering Act (PMLA)
  • Concept of Money Laundering and the offence of Money Laundering.
  • Attachment, Adjudication and Confiscation under Prevention of Money Laundering Act.
  • Obligations of Banking Companies, Financial Institutions and Intermediaries under PMLA.
  • The programme is intended for those who wants to begin his/her career in legal and compliance domain in securities markets.
    Those aspiring to work with intermediaries such as brokers, asset management companies of mutual funds, merchant bankers, portfolio managers, wealth managers, depositories, depository participants, custodians, bankers to issue, etc., stock exchanges, banks, financial institutions, regulatory bodies, govt. agencies, law firms, investors. Working executives in the financial markets domain facing exposure to securities laws. Working executives in the legal and compliance domain facing exposure to the technicalities and latest developments in the securities markets. Students seeking to supplement their knowledge in securities laws or the securities markets domain. The basis eligibility for the course is graduation in any discipline from any university recognized by UGC or equivalent. However, the students currently pursuing graduation in any discipline may be considered.

    8 days (Only on Saturday & Sunday), 10.00 am to 5.00 pm

    Rs. 24,000.00 + Applicable Taxes per participant inclusive of tuition fees, reference material and (morning / evening) refreshments only.

    For further details regarding contents,
    E-mail: training@bseindia.com