New Syllabus CS Executive Securities Law Capital Market Important Topics

CS Executive Securities Law Capital Market Important Topics

CS Executive Securities Law Capital Market Important Topics. In the previous post, we have given tips on How to Prepare CS Executive Securities Law Capital Market . Today we are providing important Topics and Questions which should be prepare very well for CS Executive New Syllabus Securities Law Capital Market Paper.Scroll Down

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CHAPTER WISE IMPORTANT TOPICS : Part I: Securities Laws (70 Marks)

Note: As December 2018 Exam is First Attempt of CS Exams New Syllabus, We are providing you a Broader List of Important Topics so that you do not miss out on anything. Also this List is made keeping into view ICSI Study Material.

CS Executive Securities Law Capital Market Important Topics : Securities Contracts (Regulation) Act, 1956
  1. Non-Applicability
  2. Powers Of Central Government
  3. Clearing Corporation
  4. Powers Of Sebi
  5. Contracts In Derivatives
  6. Delisting Of Securities
  7. Right Of Appeal To Sat Against Refusal To List Securities Of Public Companies By Stock Exchanges
  8. Factors To Be Taken Into Account By The Adjudicating Officer
  9. Establishment of Special Courts
  10. Requirements of Listing of Securities with recognised Stock Exchanges
  11. Conditions precedent to submission of application for listing by Stock Exchange
  12. Continuous Listing Requirement
  13. What is the remedy available to accompany if a stock exchange refuse to list its securities under SCRA Act, 1956?
  14. Briefly discuss the powers of stock exchange under the SCRA Act, 1956.
CS Executive Securities Law Capital Market Important Topics : Securities and Exchange Board of India Act, 1992
  1. Composition, Function and Powers of SEBI
  2. Cease and Desist Proceedings
  3. Investigations
  4. Adjudications
  5. Composition, Powers, of Securities Appellate Tribunal
  6. Requirements for Appeal to the Tribunal
  7. What is the time period for filling an appeal with SAT and Supreme Court?
  8. Recovery Of Amounts
  9. Consent Order
  10. Role Of Company Secretary
  11. Discuss the various powers of the Central Government under SEBI Act, 1992.
  12. Explain the role of SEBI in strengthening regulatory framework and fostering investor confidence.
CS Executive Securities Law Capital Market  Important Topics : Depositories Act, 1996
  1. Difference between Depository and Custodian
  2. Depository Functions
  3. Benefits Of Depository System
  4. Models Of Depository
  5. Characteristics of a DP
  6. Procedure For Dematerialisation and Rematerialisation
  7. Objectives of Depositories Act, 1996
  8. Eligibility Condition for Depository Services
  9. Eligible Securities required to be in the Depository Mode
  10. Fungibility
  11. Internal Audit Of Operations Of Depository Participants
  12. Concurrent Audit
  13. Briefly outline the concept of Depository system in India.

a

CS Executive Securities Law Capital Market Important Topics : An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
  1. Eligibility Norms For Public Issue
  2. Applicability of the Regulations
  3. Types Of Issue
  4. Draft Offer Documents
  5. Offer Document
  6. Red Herring Prospectus (RHP)
  7. Fast-Track Issues
  8. Differential Pricing
  9. Price and Price Band
  10. Face Value of Equity Shares
  11. Promoters’ Contribution
  12. Exemption from requirement of promoters’ Contribution
  13. Securities ineligible for minimum promoters’ contribution
  14. Underwriting
  15. Minimum Number Of Share Applications And Application Money
  16. Minimum Subscription
  17. Reservation On Competitive Basis
  18. Explain the various legal provisions to be complied with for further issue of capital
  19. What are the eligibility norms for public issue by an unlisted company?
  20. A company cannot offer its shares at different sets of people in a particular public issue. Comment
CS Executive Securities Law Capital Market Important Topics : An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
  1. Obligations Of Listed Entities
  2. Yearly Compliances
  3. One-time Compliances
  4. Vigil Mechanism [Regulation 22]
  5. Related Party Transactions [Regulation 23]
  6. Role Of Company Secretary
  7. Discuss about the various committees which are required to be mandatorily constituted under the Listing Regulations.
  8. State the conditions for which Omnibus approval of Audit Committee is required under SEBI (LODR) Regulations, 2015
CS Executive Securities Law Capital Market Important Topics : An Overview of SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
  1. Trigger Point For Making An Open Offer By An Acquirer
  2. Mandatory Open Offer
  3. Delisting Offer
  4. Voluntary Open Offer
  5. Conditional Offer
  6. Offer price
  7. Provision Of Escrow
  8. Withdrawal Of Open Offer
  9. Obligations Of The Target Company
  10. Regulation 10 – Automatic Exemptions
  11. What do you mean by creeping acquisition?

a

CS Executive Securities Law Capital Market Important Topics : SEBI (Buyback of Securities) Regulations, 1998
  1. Objectives Of Buy-Back
  2. Methods Of Buy-Back
  3. Buy-Back From Existing Security-Holders Through Tender Offer
  4. Buy-back through book-building
  5. Obligations Of The Company
  6. Obligations Of The Merchant Banker
CS Executive Securities Law Capital Market Important Topics : SEBI (Delisting of Equity Shares) Regulations, 2009
  1. Non-Applicability
  2. Voluntary Delisting
  3. Different modes of Voluntary Delisting
  4. Voluntary Delisting by Small Companies
  5. Compulsory Delisting
  6. Discuss the eligibility criteria for voluntary delisting of shares.
  7. Rights of security holders in case of compulsory delisting of securities
  8. How does one tender one’s shares for delisting in the tender offer method?
CS Executive Securities Law Capital Market Important Topics : An Overview of SEBI (Share Based Employee Benefits) Regulations, 2014
  1. Applicability and Non-Applicability
  2. Schemes – Implementation And Process
  3. Trust Route
  4. Eligibility Criteria
  5. Non-Transferability
  6. Employee Stock Option Scheme (ESOS)
  7. Stock Appreciation Rights Scheme (SARS)
  8. Employee Stock Purchase Scheme (ESPS)
  9. SEBI (Listing Obligations & Disclosure Requirements) Regulations, 2015 For ESOP/ESPS

a

CS Executive Securities Law Capital Market Important Topics : An Overview of SEBI (Issue of Sweat Equity) Regulations, 2002
  1. Issue Of Sweat Equity Shares To Promoters
  2. Pricing Of Sweat Equity Shares
  3. Applicability and non-applicability of the SEBI (Issue of Sweat Equity) Regulations, 2002
CS Executive Securities Law Capital Market Important Topics : SEBI (Prohibition of Insider Trading) Regulations, 2015
  1. Definition of Connected person, Insider, Unpublished price sensitive information
  2. Trading When In Possession Of Unpublished Price Sensitive Information (UPSI)
  3. Trading Plans
  4. Initial and Continual Disclosures
  5. Code Of Conduct
  6. Penalty for insider trading under section 15G of SEBI Act, 1992
  7. Role Of Company Secretary As Compliance Officer
  8. State the circumstances and conditions subject to which insider trading is permitted under the SEBI (Prohibition of Insider Trading) Regulations, 2015

a

CS Executive Securities Law Capital Market Important Topics : Mutual Funds
  1. What is a mutual fund?
  2. Structure Of A Mutual Fund
  3. Types of Mutual Funds
  4. Advantages Of Mutual Funds
  5. Risks Involved In Mutual Funds
  6. Five principal constituents
  7. Three market intermediaries
  8. Net Asset Value (NAV)
  9. Foreign Account Tax Compliance Act (FATCA)
  10. Expense Ratio
  11. Evaluating Performance Of Mutual Fund
  12. Holding Period Return
  13. Distinguish between Open ended Mutual Funds and Close ended Mutual funds.
CS Executive Securities Law Capital Market Important Topics : Collective Investment Schemes
  1. Restrictions On Business Activities
  2. Obligations Of Collective Investment Management Company
  3. Explain the scheme or arrangement which are not included in collective investment scheme?
CS Executive Securities Law Capital Market Important Topics : SEBI (Ombudsman) Regulations, 2003
  1. Scores (SEBI Complaints Redress System)
  2. Limitations In Dealing With Complaints
  3. When Can SEBI Take Action For Non-Resolution Of The Complaint?
  4. Ombudsman
  5. Powers and Functions of Ombudsman
  6. Procedure for filing a complaint
  7. SEBI (Informal Guidance) Scheme, 2003
  8. Explain the types of requests which is not considered by SEBI.

Part II: Capital Market & Intermediaries (30 Marks)

CS Executive Securities Law Capital Market Laws Important Topics : Structure of Capital Market
  • PART I
  1. Specialised Financial Institutions (SFIs)
  2. Qualified Institutional Buyers
  3. Categories of FPI
  4. Private Equity and its types
  5. Angel Fund
  6. Venture Capital
  7. Debentures
  8. Shares With Differential Voting Rights
  9. Characteristics of Bond and its types
  10. Foreign Currency Convertible Bonds (FCCBS)
  11. Foreign Currency Exchangeable Bonds (FCEBS)
  12. Derivatives
  13. Book Building
  14. Anchor Investors
  15. Application Supported By Block Amount (ASBA)
  16. Green Shoe Option
  • PART II
  1. Types Of Securities
  2. Margins
  3. Book Closure And Record Date
  4. Basis Of Sensex
  5. Nifty
  6. Market Surveillance and its types
  7. Credit Policy of RBI
  8. Inflation Index
CS Executive Securities Law Capital Market Important Topics : Securities Market Intermediaries
  1. Merchant Banker
  2. Registrars and Share Transfer Agents
  3. Debenture Trustees
  4. Stock-brokers and subbrokers
  5. Portfolio managers
  6. Credit Rating Agencies
  7. Internal Audit Of Intermediaries By Company Secretary In Practice
  8. What is meant by Research Analysts? Elucidate the capital adequacy norms laid down under SEBI (Research Analysts) Regulations, 2014 for registration as a Research Analysts

a

CS Executive New Syllabus Securities Law Capital Market :

The securities markets are vital to the growth, development and strength of market economies and the maturity of an economy are decided based on the robustness of securities market of an economy.

Considering that the Securities market is the core area of practice for the Company Secretaries, it becomes very important for the professionals to be fully aware of various laws and regulations, both for practice and guiding the Board of Directors on securities laws related matters. The securities market is governed by various regulations enacted in the course of time by the competent legislative body and regulating bodies.

This subject is divided into two Parts, Part I deals with Securities Laws and Part II deals with Capital Market & Intermediaries.

In the era of plethora of legislations, rules, and regulations, a Company Secretary professional is expected to be well aware of these rules and principles, as these compliances make the functioning of the markets smooth while violations leads to severe penalties.

CS Executive Securities Law Capital Market Important Topics : Important Topics of CS Executive New Syllabus Exam

Here we are providing subject wise important topics to CS Executive students. See below How to prepare CS Executive Module – 1 and Module – 2. Click below links

CS Executive New Syllabus Module 1 Important Topics

How to Prepare CS Executive New Syllabus Module 1 ?

  1. CS Executive New Syllabus Company Law Important Topics
  2. CS Executive Jurisprudence Interpretation and General Laws Important Topics
  3. CS Executive New Syllabus Tax Laws Important Topics
  4. CS Executive Setting Up of Business Entities and Closure Important Topics
  1. How to Prepare CS Executive New Syllabus Company Law ?
  2. How to Prepare CS Executive Jurisprudence Interpretation and General Laws ?
  3. How to Prepare CS Executive New Syllabus Tax Laws ?
  4. How to Prepare CS Executive Setting Up of Business Entities and Closure ?

CS Executive New Syllabus Module 2 Important Topics

How to Prepare CS Executive New Syllabus Module 2

  1. CS Executive Securities Laws and Capital Market Important Topics
  2. CS Executive Corporate and Management Accounting Important Topics Important Topics
  3. CS Executive Financial and Strategic Management Important Topics
  4. CS Executive Economic Business and Commercial Laws Important Topics
  1. How to Prepare CS Executive Securities Laws and Capital Market ?
  2. How to Prepare CS Executive Corporate and Management Accounting Important Topics ?
  3. How to Prepare CS Executive Financial and Strategic Management ?
  4. How to Prepare CS Executive Economic Business and Commercial Laws ?
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