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AMITY UNIVERSITY RAJASTHAN

Name of School: Amity Law School

Odd SEMESTER 20142015

Course
Handout
Program

BA/ BBA/B.COM LL.B IX Semester

Course Code

ILB 906

Course Title

FINANCIAL MARKET REGULATION

Faculty-in-charge

Mr. Shamsuddin

Credits

05

Course Details
(a) Course Objectives:

To provide conceptual understanding and in-depth knowledge of Indian financial


system, different financial services and regulatory framework concerning financial
markets and money market in India.
(b) Learning Outcomes:
The programme provides students with opportunities to develop their knowledge and
understanding of the key principles and theories of finance market, Indian financial
system in India and concept of financial services like mutual fund, ADR. GDR, IDR,
and depositories.
(c) Prerequisites: Company Law
(d) Pedagogy/ Instruction Methodology:
(i)
Lecture
(ii)
Tutorial
(iii)
Court room Exercise
(iv)
Power point presentation
(e) Suggested Text and Reference Books
1. Pathak. V. B. (2011). The Indian Financial System: Markets, Institutions and
Services. Pearson Education India.
2. Gorden. E. & Natarajan, K. (2012). Financial Markets and Services. Himalya
Publishing House.
(f) Tentative Delivery Schedule:

Lecture
No.
1
2

4
5
6
7

8
9

10

11

12

Topics to be covered

Module No

Indian Financial
System;
Capital Market: An
introduction,
meaning and
significance of capital
market;
Capital Market: An
introduction,
meaning and
significance of capital
market;
capital market vis-vis money market;
Capital
Market
Intermediaries:
Merchant Bankers,
Capital Market
Intermediaries:
Underwriters,
Capital Market
Intermediaries:
Stock Brokers & sub
brokers, Foreign
Institutional Investor;

Suggested reading from


Text Book
(Section/Chapter No.)
B-2. Chap-1

B-2. Chap-1

B-2. Chap-1

B-2. Chap-1

B-1, Chap-5

B-1, Chap-5

Capital
market
instruments Equity,
Debentures,
Capital
market
instruments

Preference
shares,
Sweat equity shares,
Non-voting shares,
Capital
market
instruments
New
instruments
of
capital
market

pure,
hybrid
and
derivatives- futures
and options
Money
market
instruments

Government
Securities,
Money
market
instruments

Treasury
bills,

B-1, Chap-5

B-1, Chap-5

B-1, Chap-5

Learning
Outcome

B-1, Chap-5

B-2, Chap-2

B-2, Chap-2

Commercial bills,

13

14
15
16
17
18
19

20

21

22
23

24

25
26
27

28

Money
market
instruments

Certificate
of
deposits, Gilt Edged
(Government)
Securities.
Primary
Market:
Meaning, significance
and scope
Functions
of
new
Issue market
principal steps of
public issue,
Instrument of issue
players in the new
issue market
players in the new
issue market
Secondary
Market
:Meaning,
significance,
functions and scope
of secondary market;
Secondary Market
:Meaning,
significance,
functions and scope
of secondary market;
Stock
exchanges,
functions
and
significance of stock
exchanges,
organization of stock
exchanges,
method of trading in
stock exchange, their
regulatory framework
and control,
Listing of securities,
Benefits of listing,
legal provisions of
listing
delisting of securities
Role and powers of
SEBI.,
Issue of Capital :SEBI
Guidelines for
Disclosure and
Investor Protection
Issue of Capital :SEBI
Guidelines for

B-2, Chap-2

II

B-2, Chap-3

II

B-2, Chap-3

II

B-2, Chap-3

II

B-2, Chap-3

II

B-2, Chap-3

II

B-2, Chap-4

II

B-2, Chap-4

II

B-2, Chap-4

II

B-2, Chap-4

II

B-2, Chap-4

II

B-2, Chap-4

II
III

1
1

B-2, Chap-4
B-2, Chap-5

III

B-2, Chap-5

III

B-2, Chap-5

29

30

31

32

33

34

35

36

37

Disclosure and
Investor Protection
detailed procedure
for issue of various
types of shares and
debentures including
prospectus
requirement and
book building
detailed
procedure
for issue of various
types of shares and
debentures including
prospectus
requirement
and
book building
detailed
procedure
for issue of various
types of shares and
debentures including
prospectus
requirement
and
book building
Regulations and code
of conduct framed by
SEBI for Secondary
Markets.
Regulations and code
of conduct framed by
SEBI for Secondary
Markets.
Regulations and code
of conduct framed by
SEBI for Secondary
Markets.
Mutual
FundsIntroduction,
definitions,
types,
risks
involved
performance
evaluation and SEBI
regulations
for
mutual funds.
Mutual
FundsIntroduction,
definitions,
types,
risks
involved
performance
evaluation and SEBI
regulations
for
mutual funds.
Mutual
FundsIntroduction,

III

B-2, Chap-5

III

B-2, Chap-5

III

B-2, Chap-5

III

B-2, Chap-5

III

B-2, Chap-5

III

B-2, Chap-5

IV

B-2, Chap-14

IV

B-2, Chap-14

IV

B-2, Chap-14

38

39

40

41
42
43
44
45
46
47
48

definitions,
types,
risks
involved
performance
evaluation and SEBI
regulations
for
mutual funds.
Non-banking Finance
Companies:
Formation
and
regulation of NBFCs.
Non-banking Finance
Companies:
Formation
and
regulation of NBFCs.
Non-banking Finance
Companies:
Formation
and
regulation of NBFCs.
Depositories:
An
analysis
of
the
Depositories Act,
Depositories:
An
analysis
of
the
Depositories Act,
constitution, role and
functions
of
depository,
depository
participants, issuers
and registrars.
Instruments
Issued
outside India: FCCBs,
Instruments
Issued
outside India: GDRs,
Instruments
Issued
outside India: ADRs,
Instruments
Issued
outside India: ECBs,

IV

B-1

IV

B-1

IV

B-1

IV

B-2, Chap-8

IV

B-2, Chap-8

IV

B-2, Chap-8

IV

B-2, Chap-8

IV

B-1

IV

B-1

IV

B-1

IV

B-1

Evaluation Scheme:
S. N. Evaluation Component
1

Mid Term/Class Test

Continuous
Evaluation
(Tests/Quizzes/Assignments/Projects/Seminar
/Industrial Visits/Case Studies)
Attendance

Final Examination

Weightage %
15
10
05
70

Remarks
Closed Book
/Open Book

Total

100

Name of Faculty-in-charge

Mr. Shamsuddin

Mobile

+91-9785429865

Email

skhan@jpr.amity.edu

Chamber Consultation Hours :

After lunch in free hours

(Signature of the Faculty-in-charge)