CS Executive Securities Law Capital Market Important Topics

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.

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.

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.

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

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

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?

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

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?

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

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

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

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.

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?

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 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

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

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 ?