Securities & Business Law Program

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Need for the Program

Securities & Business Law Program is a comparative study of legal and regulatory frameworks. It is designed to enable the participant to understand the critical securities and business law processes, such as legal, due diligence and compliance. For those with a background in law, Securities & Business Law will help appreciate securities law and market inputs while those with a securities market background will better understand compliance and due diligence. The program is intended for those who want to deep-dive into legal and compliance domain in securities Law.


COURSE DURATION: 100 hours

Securities & Business Law Program

Why is this a Competitive Course?

Over the years this course has adopted an increasingly global perspective. This Certificate Course is aimed to enable the participants in acquiring basic, yet comprehensive understanding of the concepts of Security Law, with a flavour of practical perspective wherever needed by:

  • Providing a wide angle overview of corporate laws in accordance with the Companies Act, 2013 including the latest Amendments
  • Much needed clarifications on security laws, rules and regulations.
  • Enabling the development of critical and analytical abilities in the area of Business Law

Securities & Business Law Program

Target Audience

    This course is meant for those aspiring to work with intermediaries such as:
  • Broking firms
  • asset management companies of mutual funds
  • merchant bankers
  • portfolio managers
  • wealth managers
  • depository participants
  • custodians
  • bankers to issue
  • regulatory bodies
  • Govt. agencies
  • law firms
  • investors
  • Working executives in the financial markets domain facing exposure to securities laws
  • Working executives in the legal and compliance domain facing exposure to the technicalities and latest developments in the securities markets
  • Students seeking to supplement their knowledge in securities laws or the securities markets domain

Course Methodology

The course uses a mix of interactive techniques, such as programming through interactive sessions, in-class assignments and hands-on projects. Our learn-by-doing approach is the most effective way to learn to Law.


Program USP

Securities & Business Law Program is a 6 months program aimed at vital growth, development and spread of updated Law. The maturity of an economy is decided based on the robustness of securities market of an economy. For students interested in Law, this course will help them gain Securities Law and Business Law inputs, and conversely, those with a securities market background will better understand compliance and due diligence.

    This course will help the participant learn:
  • How to choose words for better legal results in policies, contracts and incidents.
  • How to reduce risk in a world of vague laws on cyber-crime and technology compliance.
  • How to carry out investigations so that they will be judged as ethical and credible.
  • How to persuade authorities that you and your organization responded responsibly to information security, privacy and forensic challenges.

Curriculum

Securities & Business Law Curriculum (100 hours)

a) Introduction to Capital Markets - 10 hours

  • Capital Market
  • Financial Statement Analysis
  • Macro Economics
  • Capital Market Instruments
  • Role of Stock Exchanges

b) Securities Contracts Regulation Act - 6 hours

  • Regulation of Stock Markets

c) Salient Features of SEBI Act - 6 hours

  • Powers of SEBI
  • Penalty & other coercive actions of SEBI ¬†Regulations

d)  SEBI Regulations - 40 hours

  • SEBI (ICDR) Regulations
  • SEBI (LODR) Regulations
  • SEBI (Prohibition of Insider Trading Trading) Regulations
  • SEBI( Foreign Portfolio Investors) Regulations
  • Takeover Code
  • SEBI ( Prohibition of Fraudulent & Unfair Trade Practices) Regulations
  • SEBI (Buyback of Securities) Regulations

e) Companies Act - 14 hours

  • Types of Companies
  • Kinds of Capital
  • Issue of Capital by Companies
  • Prospectus
  • Management of Companies- Directors

f) Salient Features of FEMA relevant to Capital Markets - 12 hours


g) Obligations of Capital Markets Intermediaries & Functionaries under PMLA - 12 hours