CS Executive SLCM Online Classes / Video Lectures for Dec 2022/June 2023
SLCM is the 6th paper of CS Executive Module. It is subjective paper.
For Dec 2022 and June 2023, we are providing recorded lectures and live classes of SLCM.
CS Executive SLCM Live and Video Classes
Subject: Securities Laws and Capital Markets
Applicable for: Dec 2022 & June 2023
Mode: Online/Downloadable
Live/Recorded: Recorded+Live
Price: Rs. 4000
Validity: Till June 2023
No. of Views: Unlimited
No. of Classes: 100 (approx.)
No. of Hours: 100 (approx.)
Notes: Printable PDF (No hard copy)
CS Executive SLCM Free Demo Classes
How Classes will be delivered?
Notes of CS Executive SLCM Laws
Notes will be delivered in PDF. Students can download the notes and print them if required.
Live Classes of CS Executive SLCM
Live Classes will be delivered on Zoom. Details of classes will be sent to the students on their WhatsApp No. registered with us.
Online/Recorded Classes of CS Executive SLCM
Student can opt to take the classes in any of the 2 formats:
- Online Format
- Downloadable Format
Online Format (Suitable to watch videos on Mobile)
In Online Format, we create an online account of student on our website, and student can watch the videos just like YouTube Videos. Here internet is required to watch the videos. Student may use mobile or laptop to watch the videos.
Downloadable Format (Suitable to watch videos on Laptop)
In Downloadable Format, we share videos via Google Drive, and student can watch the videos by downloading the videos from the Google Drive. Here internet is required to download the videos. After downloading, videos can be watched without internet. These videos can be watch only on single laptop (Operating System shall be Windows. Our videos do not support Mac). These videos are not compatible with mobiles.
Syllabus of CS Executive SLCM for Dec 2022 and June 2023
Objective:
Part I: To provide expert knowledge in the legislations, rules and regulations governing the entities listed on the stock exchange.
Part II : To provide the basic understanding of the working of capital markets in India.
Part I: Securities Laws (70 Marks)
Detailed Content
Chapter-1 Securities Contracts (Regulation) Act, 1956
Objectives of the SCR Act, Rules and Regulations made there under; Important Definitions; Recognized Stock Exchange, Clearing Corporation; Public issue and listing of securities; Rules relating to Public Issue and Listing of Securities under Securities Contracts (Regulation) Rules, 1957.
Chapter-2 Securities and Exchange Board of India Act, 1992:
Objective; Powers & Functions of SEBI; Securities Appellate Tribunal; Penalties and appeals.
Chapter-3 Depositories Act, 1996:
Depository System in India; Role & Functions of Depositories; Depository Participants; Admission of Securities; Dematerialization & Re-materialisation; Depository Process; Inspection and Penalties; Internal Audit and Concurrent Audit of Depository Participants.
Chapter-4 An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
(SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 rechristened as (Issue of Capital and Disclosure Requirements) Regulations, 2018.
Chapter-5 An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.
Chapter-6 An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011.
Chapter-7 SEBI (Buyback of Securities) Regulations, 1998: Conditions of buy-back; Buy back Methods: Tender Offer, Open Market (Book building and Stock Exchange); General obligations; Penalties.
SEBI (Buyback of Securities) Regulations, 1998 rechristened as SEBI (Buyback of Securities) Regulations, 2018.
Chapter-8 SEBI (Delisting of Equity Shares) Regulations, 2009:
Delisting of Equity Shares; Voluntary Delisting; Exit Opportunity; Compulsory Delisting. SEBI (Delisting of Equity Shares) Regulations, 2009 rechristened as SEBI (Delisting of Equity Shares) Regulations, 2021.
Chapter-9 An Overview of SEBI (Share Based Employee Benefits) Regulations, 2014.
Chapter-10 An Overview of SEBI (Issue of Sweat Equity) Regulations, 2002.
Chapter-11 SEBI (Prohibition of Insider Trading) Regulations, 2015:
Unpublished price sensitive information (UPSI); Disclosures; Codes of fair disclosure and conduct; Penalties and Appeals.
Chapter-12 Mutual Funds:
Types of Mutual Funds and Schemes; Key players in Mutual Funds: Sponsor, Asset Management Company, Trustee, Unit holder, Evaluating performance of Mutual funds- Net Asset Value, Expense Ratio, Holding Period Return.
Chapter-13 Collective Investment Schemes:
Regulatory Framework; Restrictions on Business Activities; Submission of Information and Documents; Trustees and their Obligations.
Chapter-14 SEBI (Ombudsman) Regulations, 2003:
Procedure for Redressal of Grievances; Implementation of the Award; Display of the particulars of the Ombudsman, SCORES, SEBI (Informal Guidance) Scheme, 2003.
This Lesson has renamed as “Resolution of Complaints and Guidance”.
Case Laws, Case Studies & Practical Aspects
PART II: CAPITAL MARKET & INTERMEDIARIES (30 MARKS)
Chapter-15 STRUCTURE OF CAPITAL MARKET
Primary Market
- Capital Market Investment Institutions-Domestic Financial Institutions (DFI), Qualified Institutional Buyers (QIB), Foreign Portfolio Investors (FPI), Private Equity, Angel Funds, HNIs, Venture Capital, Pension Funds, Alternative Investment Funds.
- Capital Market Instruments-Equities, Preference Shares, Shares with Differential Voting Rights, Corporate Debt, Non-Convertible Debentures (NCD), Partly, Fully and Optionally Convertible Debentures, Bonds, Foreign Currency Convertible Bonds (FCCB), Foreign Currency Exchangeable Bonds (FCEB) Indian Depository Receipts (IDR), Derivatives, Warrants;
- Aspects of Primary Market- Book Building, ASBA, Green Shoe Option.
Secondary Market
Development of Stock market in India; Stock market & its operations, Trading Mechanism, Block and Bulk deals, Grouping, Basis of Sensex, Nifty; Suspension and Penalties; Surveillance Mechanism; Risk management in Secondary market, Impact of various Policies on Stock Markets such as Credit Policy of RBI, Fed Policy, Inflation index, CPI, WPI, etc.
16. Securities Market intermediaries
Primary Market and Secondary Market Intermediaries: Role and Functions, Merchant Bankers, Stock Brokers, Syndicate Members, Registrars and Transfer Agents, Underwriters, Bankers to an Issue, Portfolio Managers, Debenture Trustees, Investment Advisers, Research Analysts, Market Makers, Credit Rating Agencies; Internal Audit of Intermediaries by Company Secretary in Practice.
Case Laws, Case Studies & Practical Aspects.