Go Ad-Free on CAclubindia with Daily Mobile Updates. Subscribe Now!

security law and compliances Abbrev

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)

21 September 2010

Hello there very good morning to all the CCI members. below find attached security law and compliances abbreviations.

Reply
Follow
Share

20 Replies

bharat (student) (82 Points)
Replied 21 September 2010

Hi simranjeetji Thanks for sharing

1 Like

Upgrade to CAclubindia Pro. Subscribe Now!

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)
Replied 21 September 2010

Originally posted by : bharat
	Hi simranjeetji Thanks for sharing

MOST WELCOME BHARAT.....

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

Thanks Jeet...Keep sharing. when come across any security law notes i'll share with you.

1 Like

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)
Replied 21 September 2010

Originally posted by : Ankur Garg
	Thanks Jeet...Keep sharing. when come across any security law notes i'll share with you.

Most welcome Ankur sir and thanks for the concern but sir i have Deepak gajrani sir's notes for security law which i got from my friend. pls tell that whether it will be good to go through those notes only keeping in view the old and not fully updated study module for security law as there are some changes in ICDR regulations and some other changes or thorough study of module is also required.

i am confused in some chapters whether to study them from notes or module because i don't know except ICDR in which areas changes have taken place and module is reliable and good or not to go through in respect of those chapters.....

can u pls tell in which areas major or any other changes have been taken place and accordingly i will study those ones from deepak gajrani sir updated notes only.

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)
Replied 21 September 2010

This is the Detailed syllabus for SLC subject of executive stage according to module. pls tell in which areas changes have taken place if u have time.

Part A : Securities Laws (60 Marks)

1. An Overview of Legal and Regulatory Framework

Capital market regulatory framework – Securities Contracts (Regulation)
Act, 1956; SEBI Act, 1992; Depositories Act, 1996; authorities
governing capital markets; objective, power and functions of SEBI;
Securities Appellate Tribunal, appearance before SAT.
Profile of securities market; securities market reforms and regulatory
measures to promote investor confidence; growth of money market in
India – structure and institutional mechanism.

2. Capital Market Instruments and Rating

Capital market instruments - equity, debentures, preference shares,
sweat equity, non-voting shares ; new instruments of capital market pure,
hybrid and derivatives; money market instruments - treasury bills,
commercial bills, commercial paper, participatory notes; rating and
grading of instruments; concept, scope and significance; regulatory
framework; rating agencies in India, rating methodologies.

3. Capital Market Intermediaries

Primary market and secondary market intermediaries - role and
functions, merchant bankers, stock brokers, registrars to an issue,
underwriters, bankers to issue, portfolio managers, debenture- trustees,
foreign Institutional investors etc., self regulatory organisations,
guidelines on anti money laundering; surveillance; holding of enquiry.

4. Secondary Market Institutions

Functions and significance of stock exchanges; regulatory framework;
operations and trading mechanism of stock exchanges; Settlement of
securities, surveillance mechanism at stock exchanges, straight through
processing, demutualisation of stock exchanges.

5. Mutual Funds

Introduction, definitions, types, risks involved, setting up of mutual fund;
concept of Trustee and Asset Management Company; regulatory
framework.

6. Venture Capital

Concept of venture capital, regulatory framework, registration,
investment conditions and restrictions, foreign venture capital investors,
private capital funds.

7. Collective Investment Schemes

Regulatory framework governing collective investment schemes,
restrictions on business activities, submission of information and
documents, trustees and their obligations.

8. Buy-Back of Securities

Objectives of buy-back; available sources for buy-back of securities;
conditions to be fulfilled and obligations for buy-back of securities of
both listed and unlisted companies; pricing for buy back; modes of
buy-back.

9. Depository System

Overview of depository system in India; Depositories
Act; definitions, setting up of depository; role and functions of
depository; depository participants; inspection and penalties; internal
audit and concurrent audit of depository participants.

Part B : Issue Management And Compliances (40 Marks)

10. Issue of Capital

Listing of securities; SEBI Guidelines for Disclosure and Investor
Protection (DIP), procedure for issue of various types of shares and
debentures, employee stock option scheme; and employee stock
purchase scheme, delising of securities.

11. Resource Mobilisation in International Capital Market

Listing of securities issued outside India - Foreign Currency Convertible
Bonds, Global Depository Receipts, American Depository Receipts;
External Commercial Borrowings, procedure for issue of various
instruments.

12. Indian Depository Receipts

Indian Depository Receipts, procedure for making an issue of IDRs;
conditions for issue of IDRs; listing of IDRs.

Upgrade to CAclubindia Pro. Subscribe Now!

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

To be honest i do not have much idea about inner contents of security law study.

But DG notes+Scanner questions with ICSI guidelines+reasonable reading of ICSI study mat is more than enough to score good marks in security law.

For ICDR imp topics arrange CA Final Munish Bhandari book and refer the same.

Do not worry yaar...ho jayga

1 Like

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

Oh....you have posted the contents...gr8...i'll check them and suggest you some topics from my side form exam point of view.

Regards

1 Like

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)
Replied 21 September 2010

Thanks Ankur sir but can u let me know what is the full form and what are these ICDR regulations. there is no such chapter in module but in DG sir notes there is a full chapter on this and my friend told me that the weightage of this chapter is around 20 - 25 marks everytime in exams.

if this chapter is in module then out of these in which chapter acc to module these ICDR's are covered.....

CMA. PRAVEEN V CA FINAL (cost accountant) (1402 Points)
Replied 21 September 2010

HAI SIMRANJEET, THANKS FOR SHARING.................................

Simranjeet Singh (Proprietor at S Simranjeet & Associates Company Secretaries) (4396 Points)
Replied 21 September 2010

Originally posted by : prgcwa
	HAI SIMRANJEET, THANKS FOR SHARING.................................

MOST WELCOME SIR...

Upgrade to CAclubindia Pro. Subscribe Now!

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

Originally posted by : simranjeet singh
	Thanks Ankur sir but can u let me know what is the full form and what are these ICDR regulations. there is no such chapter in module but in DG sir notes there is a full chapter on this and my friend told me that the weightage of this chapter is around 20 - 25 marks everytime in exams. if this chapter is in module then out of these in which chapter acc to module these ICDR's are covered.....

Check the link below:

Very urgent Announcement_Rescission of SEBI (DIP) Guidelines

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

Hello,

This is to inform you that SEBI (DIP) Guidelines, 2000 has been rescinded and replaced by SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 which have been notified on August 26, 2009.

I don’t have the same in simple format but Please find enclosed herewith new SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 along with SEBI Circular No. SEBI/CFD/DIL/ICDRR/1/2009/03/09 Dated September 3, 2009.

Best Regards

Attached File : 40 sebi icdr regulations 2009 final.pdf downloaded: 364 times

1 Like

Ankur Garg (Company Secretary and Compliance Officer) (114773 Points)
Replied 21 September 2010

Also find attach a file containing difference between newly introduced SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 and rescinded SEBI (DIP) Guidelines, 2000.

The same is very important for the purpose of Examination and for understanding this new amendment.

Best Regards

Attached File : 24 difference between sebi icdr and sebi dip.pdf downloaded: 230 times