CS Executive Capital Market Securities Laws Video Lectures : The subject of Capital Market and Securities Laws is inherently complicated and is subject to constant refinement through new primary legislations, rules and regulations made thereunder. These Video Lectures have been published to aid the students in preparing for the Capital Market and Securities Laws paper of the CS Executive Programme.Â
For Other Subjects Video Lectures, Click on Below mentioned Subjects
CS Executive Group 1 Video Lectures |
CS Executive Group 2 Video Lectures |
| 1. CS Executive Company Law Video Lecture
2. CS Executive Economic Commercial Laws Video Lectures
3. CS Executive Tax Laws Video Lectures
|
1.CS Executive Industrial Labour General Law Video Lectures
2. CS Executive Capital Market Securities Laws Video Lectures
|
We have provided the chapter wise index for this subject below
CS Executive Capital Market Securities Laws Video Lectures : Chapter 1 & 2 : Overview of Capital Market and Capital Market Instruments |
| Topics Covered in this Chapter |
|
Sweat Equity Shares, Secured Premium Notes, Equity Shares with detachable warrants, Dual Option Warrants, Debt Instruments with Debt Warrants, Debt for Equity Swap, Indexed Rate Notes, Extendable Notes, Level Pay Floating Rate, Zero Coupon Convertible Notes, Deep Discount Bond, Disaster Bonds, Option Bonds, Easy Exit Bonds, Pay in Kind Bonds, Split Coupon Debentures, Floating Rate Bonds and Notes, Clip and Strip Bonds, Dual Convertible Bonds, Stepped Coupon Bonds, Industrial Revenue Bonds, Commodity Bonds, Carrot and Stick Bond, Capital Indexed Bonds, Inflation indexed bonds or Inflation Indexed National Savings Securities, Tax Free Bonds, Global Depository Receipts, Foreign Currency Convertible Bond (FCCB), Indian Depository Receipts, Tracking Stocks, Mortgage Backed Securities, Futures, Options, Hedge Funds,Exchange Traded Funds, Fund of Funds (FoFs), LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 3 : CREDIT RATING & IPO GRADING |
| Topics Covered in this Chapter |
|
Introduction, Rating Methodologies, Regulatory framework, Transparency & Disclosure Norms for Credit rating agencies, Rating Symbols and Definitions, IPO Grading, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 4 : MARKET INFRASTRUCTURE INSTITUTIONS – STOCK EXCHANGE TRADING MECHANISM |
| Topics Covered in this Chapter |
|
Introduction, Stock Exchange Trading Mechanism, Market Making, Securities Lending, Securities’ Lending and Borrowing (‘SLB’), Short Selling and Securities Lending and Borrowing, Bombay Stock Exchange Ltd., Basket Trading System, Settlement system at BSE, National stock exchange of India ltd. (NSEIL), Trading and Settlement at NSE, Straight Through Processing, Direct Market Access (DMA), Demutualization of Stock Exchanges, Small and Medium Enterprise (SME) exchange, Algorithmic Trading, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
CS Executive Capital Market Securities Laws Video Lectures : Chapter 5 : DEBT MARKET |
| Topics Covered in this Chapter |
|
Introduction, Debt Market Instruments, Investors in debt market, Debt Market Intermediaries/Participants, Debt Market – Regulatory Framework, SEBI (Issue of Capital and Disclosure Requirements)Â
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 6 : MONEY MARKET |
| Topics Covered in this Chapter |
|
Introduction, Features of Money Market, Money Market vs. Capital Market, Growth of Money Market, Structure and Institutional Development 156, , Money Market Instruments, Certificates of Deposits, Inter-Corporate Deposits, Commercial Bills, Commercial Paper, Factoring, Bills Rediscounting, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 7 : MUTUAL FUND |
| Topics Covered in this Chapter |
|
Introduction, An overview of trends in Mutual Funds, Advantages of Mutual Funds, Schemes according to Maturity Period, Investment Strategies, Offer document of Mutual Fund Schemes, Additional mode of payment through applications supported by blocked amount in mutual funds, Risks involved in Mutual Funds, Calculation of Net Asset Value (NAV), Mutual Fund Costs, Transaction Charges, Roll Over of a Scheme, Switch over one scheme to another, Annualized Returns, Asset Management Company (AMC), Restriction on redemption in Mutual Funds, SEBI (Mutual Fund) Regulations, 1996, Code of Conduct for Mutual Funds, General Due Diligence and Specific Due Diligence by trustees, Independent Directors’ Responsibilities, Procedure for launching of schemes 18, , Advertisements code for Mutual Funds, In principle approval from recognised stock exchange(s), Listing of Close Ended Scheme, Repurchase of Close Ended Scheme, Offering Period, Allotment of units and refund of money, Transfer of units, Guaranteed Returns, Capital Protect on Oriented Schemes, Infrastructure Debt Fund Schemes, Gold Exchange Traded Funds, Real Estate Mutual Fund Schemes (REMFS), Compliances under SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 8 : ALTERNATIVE INVESTMENT FUND |
| Topics Covered in this Chapter |
|
Introduction, Existing Venture Capital Funds, SEBI (Alternative Investment Funds) Regulations, 2012, Important Definitions, Key Features of AIF Categories, Guidelines on disclosures, reporting and clarifications under AIF Regulations, SEBI (Foreign Venture Capital Investors) Regulations, 2000, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 9 : COLLECTIVE INVESTMENT SCH, Introduction, SEBI (Collective Investment Schemes) Regulations, 1999 |
| Topics Covered in this Chapter |
|
An Overview, Restrictions on Business Activities 225, , Obligations of Collective Investment Management Company, Rights and Obligations of the trustee, Termination of Trusteeship, Termination of the Agreement with the Collective Investment Management Company, Winding up of Scheme, Requirements with respect to the listing of units or any other instrument of a CIS on a, recognised stock excha, Penal Provisions, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 10 : RESOURCE MOBILISATION IN INTERNATIONAL CAPITAL MARKET Introduction |
| Topics Covered in this Chapter |
|
Regulatory Framework in India, Depository Receipts, ADR & GDR, Depository Receipts Scheme, 2014, Provisions of Companies Act, 2013 relating to issue of GDR, Procedure for Issuance of GDR/FCCBs, Appointment of Intermediaries, Principal Documentation, Preand Post Launch – Additional Key Actions, Foreign Currency Exchangeable Bonds, Foreign Currency Convertible Bonds, FCCB and ordinary shares (through depository receipt mechanism) scheme, 1993, External Commercial Borrowings (ECB), LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 11 : INDIAN DEPOSITORY RECEIPTS |
| Topics Covered in this Chapter |
|
Introduction, Regulatory Framework of IDRs – An Overview, Rule 13 of the Companies (Registration of Foreign Companies) Rules, 2014, SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009, Rights Issue of Indian Depository Receipts, Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTION
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 12 & 13 : FOREIGN PORTFOLIO INVESTORS |
| Topics Covered in this Chapter |
|
Introduction, SEBI (Foreign Portfolio Investors) Regulations, 2014, Registration of Foreign Portfolio Investors, Approval of Designated Depository Participant, Investment Conditions and Restrictions, Offshore Derivative Instruments (ODIs), Obligations and Responsibilities of Foreign Portfolio Investors (FPIs), Obligations and Responsibilities of Designated Depository Participants (DDPs), Procedure for Inspection and Investigation, Action in Case of Default, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS, LESSON 13 NON-CONVERTIBLE REDEEMABLE PREFERENCE SH, Introduction, SEBI (Issue and Listing of Non-Convertible Redeemable Preference Shares) Regulations, 2013, Definitions, Issue of Non-Convertible Redeemable Preference Shares, Conditions for Private Placement, Listing and Trading of Non-Convertible Redeemable Preference Shares, Obligations of the issuer, lead merchant banker, etc., Issuance and Listing of Non-Equity Regulatory Capital Instruments by banks 314 Inspection by SEBI, LESSON ROUND UP, GLOSSARY, SELF
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 14 : REAL ESTATE INVESTMENT TRUSTS |
| Topics Covered in this Chapter |
|
Introduction, SEBI (Real Estate Investment Trust) Regulations, 2014, Registration of Real Estate Investment Trusts, Issue and Listing of Units, Guidelines for Public Issue of Units of REITs, Investment Conditions, Related Party Transactions, Borrowing and Valuation Of Assets, Rights and Meetings of Unit Holders, Disclosures, Liability for Action In Case Of Default, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 15 : INFRASTRUCTURE INVESTMENT TRUSTS |
| Topics Covered in this Chapter |
|
Introduction, SEBI (Infrastructure Investment Trusts) Regulations, 2014, Registration of Infrastructure Investment Trusts, Offer of Units OF InvIT and listing of units, Guidelines for public issue of units of InvITs, Investment Conditions, Related Party Transactions, Borrowing and Valuation of Assets, Rights and Meetings of Unit Holders, Disclosures, Inspection, Liability for Action In Case Of Default, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 16 : REGULATORY FRAMEWORK GOVERNING STOCK EXCHANGES |
| Topics Covered in this Chapter |
|
Introduction, Securities Contracts (Regulation) Act, 1956, Corporatisation and Demutualisation of Stock Exchanges, Procedure for Corporatisation and Demutualisation, Contracts in Securities, Public Issue and Listing of Securities, Penalties and Procedures, Penalties, Offences, Rights of Investors, Securities Contract (Regulation) (Stock Exchange and Clearing Corporations) Regulations, 2012, Securities Contracts (Regulation) Rules, 1957, Requirements of listing of securities with recognised stock exchanges, Rule 19(2), Continuous Listing Requirement, Delisting of securities, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 17 : SECURITIES AND EXCHANGE BOARD OF INDIA |
| Topics Covered in this Chapter |
|
Introduction, Objective of SEBI, SEBI Act, 1992, Powers and Functions of SEBI, Investigations Procedure, Securities Appellate Tribunal (SAT), SEBI (Settlement of Administrative & Civil Proceedings) Regulations, 2014, SEBI (Procedure for Search and Seizure) Regulations, 2014, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 18 : DEPOSITORIES |
| Topics Covered in this Chapter |
|
Introduction, Benefits of Depository System, Depository System – An Overview, Legal Linkage, Legal Framework, The Depositories Act, 1996, Bye-Laws of a Depository, SEBI (Depositories and Participants) Regulations, 1996, Governance of Depository, Internal Audit of Operations of Depository Participants, Concurrent Audit, Establishment of Connectivity with NSDL and CDSL, Appointment of Common Agency for Share Registry Work, In-Person Verification (IPV), Designated Depository Participant (DDP), Basic Services Demat Account (BSDA), Single Registration for Depository Participants, Saral Account Opening Form for Resident Individuals, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS,
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 19 : LISTING AND DELISTING OF SECURITIES |
| Topics Covered in this Chapter |
|
Introduction, Types of Listing, Benefits of Listing, Legal Provision on Listing, Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, Corporate Governance, Corporate Governance under SEBI (LODR), 2015, Delisting 513, , SEBI (Delisting of Equity Shares) Regulations, 2009, Voluntary Delisting, Delisting From All Recognised Stock Exchanges, Procedure for Delisting, Special provisions for small companies and delisting by operation of law, Compulsory Delisting, Schedule III, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 20 : ISSUE OF SECURITIES |
| Topics Covered in this Chapter |
|
Introduction, Issue of Equity Shares, Meaning of Draft Offer Document, Letter of Offer and Red Herring Prospectus, Fast Track Issues, Pricing, Promoters’ Contribution, Lock-In-Requirements, Underwriting, Reservation on Competitive Basis, Allocation in Net Offer to Public, Book Building, Anchor Investors, Application Supported By Block Amount, Green Shoe Option Facility, Procedure for Issue of Securities, Rights Issue, Bonus Shares, Preferential Issue by Existing Listed Companies, Qualified Institutions Placement, Institutional Placement Programme, Listing on Institutional Trading Platform, Issue of Securities by Small and Medium Enterprises, Listing of Securities on Stock Exchanges, Exit Opportunity to Dissenting Shareholders, SEBI (Share Based Employee Benefits) Regulations, 2014, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 21 : REGULATORY FRAMEWORK RELATING TO SECURITIES MARKET INTERMEDIARIES |
| Topics Covered in this Chapter |
|
Introduction, Merchant Bankers, SEBI (Merchant Bankers) Regulations, 1993, Syndicate Members, Stock Brokers & Sub-Broker, SEBI (Stock Brokers and Sub-Brokers)
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 22 : INSIDER TRADING – AN OVERVIEW |
| Topics Covered in this Chapter |
|
Introduction, Provisions relating to Insider Trading in Companies Act, 2013, SEBI (Prohibition of Insider Trading) Regulations, 2015, Communication or Procurement of UPSI, Trading When In Possession of UPSI, Trading Plans, Disclosures of Trading By Insiders, Disclosures of Interest by Certain Persons, Codes of Fair Disclosure and Conduct, Penalty Provisions for violations of the Regulations, Appeal to Securities Appellate Tribunal, Role of Company Secretary in Compliance Requirements, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 23 : TAKEOVER CODE – AN OVERVIEW |
| Topics Covered in this Chapter |
|
Introduction, SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011, Applicability, Trigger Point for Making an Open Offer byan Acquirer, Open Offer, Public Announcement, Provision of escrow, Mode of Payment, Obligations of the target company, Obligations of the Acquirer, Disclosures, Exemptions, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS.
|
a
CS Executive Capital Market Securities Laws Video Lectures : Chapter 24 : INVESTOR PROTECTION |
| Topics Covered in this Chapter |
|
Introduction, Legal Framework for Investor Protection in India, Investor Education and Protection Fund, Section 125 of the Companies Act, 2013, SEBI (Investor Protection and Education Fund) Regulations, 2009, Financial Education, Investor Grievance Redressal Mechanism at SEBI, SEBI (Informal Guidance) Scheme, 2003, LESSON ROUND UP, GLOSSARY, SELF TEST QUESTIONS, TEST PAPERS
|
a
