Financial Market Regulation

Unit I — Financial Regulatory Authorities

Introduction: Need and Significance of Financial Market Regulation · Regulators in India · Securities and Exchange Board of India · Reserve Bank of India · Ministry of Finance · Ministry of Corporate Affairs · « Insurance Regulatory and Development Authority of India · Pension Fund Regulatory and Development Authority

• SEBI — formation of SEBI Board, role of SEBI (Banking Companies and NBFC's)
• RBI rules & Notifications (Banking) 1949
• Insurance Regulatory and Development Authority (IRDA) Act, 1999, IRDAI, its functions, role, structure

Unit II — Depositories and Financial Instruments

Analysis of Depositories Act, 1996 · Constitution, role and functions o and registrars · Instruments: Debentures, papers, treasury bills f Depository, depository participants, issuers sweat equity shares, certificate of deposit, commercial

Unit III — Financial Regulation and Money Laundering

Money Laundering: Introduction and meaning · SEBI Guidelines on Money Laundering · Anti-money Laundering: Meaning, Prevention of Money Laundering Act, 2002