Certificate Program on Securities Laws


The Certificate Program on Securities Laws is a comparative study of legal and regulatory frameworks. It is designed to enable the participant to understand the critical securities market processes, such as legal, due diligence and compliance. For those with a background in law, CPSL will help appreciate securities market inputs while those with a securities market background will better understand compliance and due diligence. The programme is intended for those who want to begin their careers in legal and compliance domain in securities markets.
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
  • Day 1
    1. 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
    Offences and Penalties and procedures thereof, Appeals under SCRA, Misc Provisions

    Day 2
    2. 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

    Day 3
    3. Public Issue Guidelines, Insider Trading and Takeover Code
    SEBI (Issue of Capital and Disclosure Requirements) 2009

    Day 4
    3. Public Issue Guidelines, Insider Trading and Takeover Code
    Salient features on Regulations on Takeover code
    Salient features of Regulations on Insider Trading

    Day 5
    4. Understanding Financial Statements
    Types of Financial Statements, Stakeholders in Business Organizations
    Fixed Assets, Tangible and Intangible Assets, Depreciation and Amortization, Legal Provisions, Operating Cycle, Management of Current Assets, Current Liabilities

    Day 6
    4. Understanding Financial Statements
    Working Capital Reporting requirements of Financial Statements, Indian Accounting Standards (IAS), Provisions of Schedule III of Companies Act 2013, Financial Ratios

    Day 7
    5. FEMA Regulations

    Day 8
    6. Prevention of Money Laundering (PMLA)

    Those aspiring to work with intermediaries such as

  • Brokers
  • asset management companies of mutual funds
  • merchant bankers
  • portfolio managers
  • wealth managers
  • depository participants
  • custodians
  • bankers to issue
  • regulatory bodies
  • regulatory bodies
  • 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
  • 8 days (Only on Saturday & Sunday), 10.00 am to 5.00 pm

    Rs. 29,760.00 + 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