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Capital Market Laws & Practices


Overview

To support the legislative and regulatory reform aimed at fostering transparency, accountability and sophistication in the capital market, there is a need for a pool of smart professionals who can understand the intricacies of these reforms and can guide market participants to be compliant.

In response to this requirement, a program has been conceived to bring together highly experienced legal experts and practitioners to provide their insights on the nature and practical significance of the changing legal framework governing the capital market. This program, comprising a series of 12 lectures, is aimed at helping market professionals gain a clearer perspective of the extant legal and regulatory framework, and receive authoritative guidance on transactional and compliance issues. The program would be driven by a Steering Committee and speakers comprising legal experts and practitioners. The Institute of Company Secretaries of India (ICSI) is logo partner in this initiative.

Benefits

By attending this programme, participants can:

  • Get an improved understanding of the nuances of the capital market laws and practices
  • Interact with legal experts and understand their views on important issues and developments
  • Get a detailed account of new regulations in India
  • Build a strong corporate network among market intermediaries
  • The members of ICSI who attend this program will get credit hours from ICSI as per the Institute’s guidelines
  • Receive a ‘Certificate of participation’ from NSE at the end of the Lecture Series for attending at least 8 lectures
  • Get a well-researched preparatory material before each lecture
S.No. Lecture Topic Brief Description
1 Introduction to Capital Market Laws and Practices A description of the key capital market regulators; their powers and responsibilities and the objectives and scope of key legislations governing capital market.
2 Overview of Market Intermediaries A description of the role of key market intermediaries, including Merchant Bankers, Trading Members, Depositories, DPs, Custodial Participants and RTAs.
3 Capital Raising A description of the means of capital raising, the differences between public issues and private placements and key legislations governing capital raising.
4 Listing and Role of Intermediaries An in-depth study of key processes involved in an IPO, advantages and disadvantages of listing, regulatory framework, requirements of listing and role on intermediaries including Merchant Bankers, Lawyers, Registrars to the issue, Bankers to the issue, Underwriters, etc.
5 Trading in Secondary Market – Part 1 An introduction to the types of secondary markets, its importance, study of products offered in the secondary market, role of key intermediaries in secondary market and key regulations governing secondary market.
6 Trading in Secondary Market – Part 2
7 Corporate Governance: Laws and Practices A study of the principles of corporate governance, historical developments, responsibilities of the Board of listed companies, and international best practices.
8 Delisting and Share Buybacks A study of the requirements for and process of compulsory and voluntary delisting, recent amendments to the regulations, the share buy-back process, and relevant case studies
9 Insider Trading: Laws and Case Studies A study of key definitions and concepts, important exceptions, disclosures and codes of conduct under the Insider Trading regulations, the role of stock exchanges and regulators in implementation and relevant case studies.
10 Takeover Code: Laws and Case Studies A study of key statutory definitions and concepts, historical development, steps involved in making an open offer, key compliances, and relevant case studies.
11 Corporate Restructuring A study of types of corporate restructuring, approaches to valuation, preparation of scheme of amalgamation and valuation report, applicable laws, strategy formation during corporate restructuring, strategizing tools and procedures for M&As.
12 FPI Regulations Features of different categories of FPIs, the regulatory framework governing FPIs in India, key definitions and provisions of the extant SEBI regulations.

We invite registrations from corporates, law firms, banks, NBFCs and market intermediaries such as mutual funds, RTAs, Flls, trading members etc. Professionals studying to be Chartered Accountants, Company Secretaries and Lawyers can also register for the Lecture Series.

Dr. M.S. Sahoo
Chairperson
Insolvency and Bankruptcy
Board of India

“I compliment the National Stock Exchange of India Limited for this lecture series, which provides a platform for some of the best minds in India to shape the contemporary thoughts on issues relating to the Indian securities market.”

Mr. Suhail Nathani 
Managing Partner
Economic Laws Practice

“Continued education is ‘basic hygiene’ for today’s professionals. The faculty and format put in place by NSE allows for busy professionals to update themselves in a practical and comprehensive way."

Mr. Dara Kalyaniwala
Vice President
Investment Banking

PL Capital Markets Pvt. Ltd.

“A very well designed programme focused on the practice of Capital Market related laws with great utility for the participants.”

Mr. Sai Venkateshwaran
Partner and Head 
Accounting Advisory Services

KPMG

“As a platform, I believe it provides both professionals and industry participants a unique opportunity to engage in a discussion and debate on both evolving subjects as well as current hot topics.”

Mr. Sharad Abhyankar
Partner
Khaitan & Co.

“The NSE Lecture Series is one of the most comprehensive curriculum that gives a simplified overview of the complex framework within which the securities markets operate.”

Mr. Yash Ashar
Partner
Cyril Amarchand Mangaldas

“I was happy to be involved in the initial conceptualisation of the course and then of course to be a speaker. It has attracted many market participants. It’s a great platform for learning.”

  • Companies can register for the Lecture Series and designate a maximum of 5 employees as participants.
  • A nominal fee of Rs 15000 (inclusive of GST) per person will be charged for attending the entire lecture Series and for group enrollment (3 - 5 persons) the fee would be Rs 12000 (inclusive of GST) per person
  • In the event a participant is unable to attend, he or she can nominate another participant with advance intimation to NSE at least 7 business days before the scheduled lecture. The nominated participant shall carry the Privilege card provided by NSE to the registered participant for attending the lecture.
  • Due to limited number of seats, registration will be on first come first serve basis. The last date for registration is June 28, 2018; registration may however close earlier if all seats get booked.

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Payments and refund Policy

  1. Payment for attending NSE Lecture series can be done online through the payment gateway link provided on NSE’s website i.e. www.nseindia.com (for all participants including Individuals, Corporates and Trading Members) or through cheque ( in case of Corporates and Trading Members only).
  2. NSE reserves the right to modify any and all fees from time to time, without any notice.
  3. NSE shall not be liable in any manner whatsoever with respect to any loss or damage incurred directly or indirectly due to decline of authorization for any transaction.
  4. Amount once paid shall not be refunded other than in the following circumstances (applicable in case of online payment only):
    1. Multiple times debiting of Participants Card/Bank Account due to technical error OR Participant’s account being debited with excess amount in a single transaction due to technical error. In such cases, excess amount would be refunded to the candidate..
    2. Due to technical error, payment being charged on the Participants Card/Bank Account but the enrolment for the program is unsuccessful. Participant can seek a refund of the amount, he/she would be refunded net the amount, after deduction of Payment Gateway charges or any other charges.
Updated on: 22/01/2020 12:00
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