Click here for Securities Intermediaries Compliance (Non-Fund) Short Notes
Unit No. | Unit Name | Weightages% |
---|---|---|
Part A: Understanding the Financial and Regulatory Structure in India (60 marks) | ||
Unit 1 | Introduction to Financial System | 5% |
Unit 2 | Regulatory Framework: General View | 10% |
Unit 3 | Introduction to Compliance | 4% |
Unit 4 | SEBI Act, 1992 | 7% |
Unit 5 | Securities Contracts (Regulation) Act, 1956 and Securities Contracts (Regulation) Rules, 1957 | 6% |
Unit 6 | SEBI (Intermediaries) Regulations, 2008 | 6% |
Unit 7 | SEBI (Prohibition of Insider Trading) Regulations, 1992 | 6% |
Unit 8 | SEBI (Fraudulent and Unfair Trade Practices Relating to Securities Markets) Regulations, 2003 | 6% |
Unit 9 | The Prevention of Money Laundering Act, 2002 | 7% |
Unit 10 | SEBI (KYC Registration Agency) Regulations, 2011 | 3% |
Part B: Understanding Intermediary Specific Regulations (40 marks) | ||
Unit 11 | SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992 | 8% |
Unit 12 | SEBI (Merchant Bankers) Regulations, 1992, Listing Agreement & SEBI (Delisting of Securities) Guidelines, 2003, SEBI Takeover Code & SEBI (Buyback of Securities) Regulations, 2006 | 6% |
Unit 13 | SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 | 5% |
Unit 14 | Depositories Act, 1996 | 3% |
Unit 15 | SEBI (Depositories and Participants) Regulations, 1996 | 3% |
Unit 16 | SEBI (Bankers to an Issue) Regulations, 1994 | 3% |
Unit 17 | SEBI (Underwriters) Regulations, 1993 | 3% |
Unit 18 | SEBI (Debenture Trustees) Regulations, 1993 | 3% |
Unit 19 | SEBI (Credit Rating Agencies) Regulations, 1999 | 3% |
Unit 20 | SEBI (Custodian of Securities) Regulations, 1996 | 3% |