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17-09-2012, 12:45 PM
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.ppt  SEBI ACT,1992.ppt (Size: 284.5 KB / Downloads: 22)

Overview of financial markets

Financial markets comprises of-
Money market- debt securities issued for short term- usually for a period less than a year- e.g. treasury bills for 90 days, commercial papers, certificate of deposits etc.
Banking industry and NBFC- lending, borrowing of funds by banks/NBFCs (non-banking financial Cos)
Capital markets- issue of long term debt and equity shares by various body corporate and institutions, the securities of which are listed and traded on stock exchanges in India. Divided into primary and secondary markets
Insurance products
Pension funds and related investments

Regulatory framework for capital markets in India

Certain provisions of Companies Act,1956 (section 55A)-
Relating to issue of securities
Relating to transfer of securities
Relating to non-payment of dividend
In respect of listed companies and public companies that intend to get their securities listed
Delegated legislation under the above Acts-

Regulatory frame work under DCA- Department of Company Affairs-

Formation and incorporation of companies
Types of companies
Membership of companies
Shares and debentures, their types, issue, allotment, transfer, alteration etc.
Administration and management of companies including monitoring the end use of funds raised through public issues
Payment of dividends
Investor education and protection fund
Protection of minority shareholders
Winding up, dissolution, striking off names of companies

Formation of SEBI

Statutory Board
Headed by chairman
Eight members- 2 officials from Ministries in Government of India, dealing with finance & administration of Companies Act;
RBI member
Five others of whom three shall be full time members
Chairman and all other members other than that of RBI are appointed by Central government
They shall be persons of ability, integrity and standing who have shown capacity in dealing with problems relating to law, finance, economics, accountancy, administration etc.
The members may be removed on a 3 months notice from the post
Members of the board are public servants
Penalty for contraventions of the Act- imprisonment for 1 year or more

Grounds for removal of members

Unsound mind
Conviction on the basis of moral turpitude
Abuse of position detrimental to public interest
The central government can supersede the Board, if-
There is grave emergency,
Board is unable to function
If it is consistently defaulting in complying with the directions

Enforcement powers

Stopping of public issues, restraining issuer companies/ promoters from accessing capital markets
Issuing directions/ measures
Cease and desist orders
Suspension/cancellation of registration certificate of market intermediaries
Imposing monetary penalties
Initiating prosecutions against entities
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