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    BA BBA Investment Law & Financial Market Regulations SEM IX-23

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    syllabus nmims Investment Law

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    BA BBA Investment Law & Financial Market Regulations SEM IX-23

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    syllabus nmims Investment Law

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    syllabus nmims Investment Law

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    3 views4 pages

    BA BBA Investment Law & Financial Market Regulations SEM IX-23

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    ponoppucenitar
    syllabus nmims Investment Law

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    of 4

    SVKM’s NarseeMonjee Institute of Management Studies

    Name of School – Kirit P. Mehta School of Law

    Program:B.A., LL.B. (Hons.) 8101 & B.B.A., LL.B. (Hons.) 8102 Semester: IX
    Module : Investment Law & Financial Market Regulations Module Code:
    Teaching Scheme Evaluation Scheme
    Lecture Practical Tutorial Term End
    Internal Continuous
    (Hours (Hours (Hours Examinations (TEE)
    Credit Assessment (ICA)
    per per per (Marks- 50
    (Marks - 50)
    week) week) week) in Question Paper)
    3 0 0 3 Marks Scaled to 50 Marks Scaled to 50
    Pre-requisite: Knowledge of Corporate Laws and Financial Markets.
    Objectives:To introduce the students to the various types of :
    ● Financial markets, financial instruments like Shares (DVR’s&SR), Bonds, Convertible
    Notes, Commercial Papers etc.
    ● The Regulators of the Financial Markets, and the powers of rulemaking, application and
    adjudication.
    ● The powers of the Regulators to Settle/Consent Terms and compound criminal
    proceedings.
    ● The process of litigations i.e Appeals, Revisions etc.
    Outcomes:
    1) The student will be able to understand the various financial market regulators and their
    jurisdictions for rule making & effective implementation of the rules.(PLO2a & PLO1a)
    2) The student will be able to comprehend the various financial instruments; compliances
    and penalties in case of regulatory violations. (PLO2a & PLO1a)
    Detailed Syllabus: ( per session plan )
    Unit Description Duration
    1. INTRODUCTION TO FINANCIAL MARKET REGULATORS & 2 Hrs.
    REGULATIONS:
    1) Role of the Central Government.
    a)Ministry of Corporate Affairs
    b)Ministry of Finance
    Basic Reading:DeveshKapur et. Al,Regulation In India:
    Design,Capacity,Performance, Hart, Part I, Ch.1
    2. INTRODUCTION TO FINANCIAL MARKET REGULATORS & 3 Hrs.
    REGULATIONS:
    1) Reserve Bank of India
    2) Insurance regulatory development authority
    3) Securities & Exchange Board of India
    4) Pension Fund Regulatory & Development Authority
    .Basic Reading: Bare Acts of the respective statutes, the statement
    &objects,DeveshKapur et.al
    Regulation in India: Design Capacity Performance Part III Ch. 5 &6
    3. SECURITIES MARKET ACTS & REGULATIONS 3 Hrs.
    1. SEBI Act 1992.
    2. Securities Contract (Regulation) Act 1956& Rules 1957
    3. Depositaries Act 1996
    Basic Reading:CASE STUDY: The 1992 Harshad Mehta Scam (Bank Receipt
    Fraud; Loopholes in the Securities Regulatory Systems)
    4. SECURITIES MARKET ACTS & REGULATIONS 2 Hrs.
    1. Companies Act 2013
    SVKM’s NarseeMonjee Institute of Management Studies
    Name of School – Kirit P. Mehta School of Law

    Basic Reading:Avtar Singh, Companies Law, EBC Ch.5 & 7


    5. SECURITIES MARKET ACTS & REGULATIONS and as amended to date. 3 Hrs.
    (CONTD.)
    1. SEBI Provisions with respect to Mutual Funds.( 1996)
    2. Market Intermediaries Provisions 2008
    3. Research Analyst Regulations, 2014
    Basic Reading: CASE STUDY: Franklin Templeton Mutual Funds Fiasco;
    Sahara India Pariwar Investor Fraud Case ( S 23 of CA,2013 & SEBI Act,1992
    Sec.11
    6. SECURITIES MARKET ACTS & REGULATIONS and as amended to date. 2 Hrs.
    (CONTD.)
    1. Procedural Guidelines for Proxy Advisories,dt. 3rd August 2020.
    2. Portfolio Managers Regulations,2020
    3. Alternate Investment Funds Regulations, 2012
    4. Collective Investment Scheme (CIS)
    Reading: SEBI Act,1992 and the Regulations made with respect to the above
    market participants under S .29 & 30 of the SEBI Act,1992
    7. ALTERNATE INVESTMENT FUNDS AND REGULATIONS 3 Hrs.
    ● Private Equity
    ● Venture Capital Funds
    ● Angel Funds
    ● Hedge Funds
    Basic Reading: Regulations as amended to date by SEBI under powers
    conferred by the SEBI Act, 1992 S.29 & 30

    8. Reserve Bank of India 3 Hrs.


    RBI :Non-BankingFinance Company Regulations:
    ● General NBFCs
    ● Microfinance Companies
    ● Peer to Peer Lending
    Basic Reading:RBI Regulations made with respect to NBFC’s.
    9. Reserve Bank of India 3 Hrs.
    RBI :Non-Banking Finance Company Regulations:
    ● Reserve Bank of India Regulations ( contd,)
    ● Banking Regulations Act ,1949 r/w rules.
    ● Regulations with respect to shareholdings, voting rights
    ● Reserve Bank of India ( contd )
    ● Concepts and Introduction to:
    ▪ External Commercial Borrowings
    ▪ Commercial Paper Regulations
    ▪ Convertible Notes
    Basic Reading:Bare Act, Banking Regulation Act,1949, FEMA,1999 and rules
    made thereunder for raising capital.
    10. Companies Act,2013 and Rules 2 Hrs.
    1. IPO and Divestment by promoters
    2. Buy Back (CA 2013 and SEBI Regulations)
    Basic Reading: CASE STUDY: Infosys’s Ltd, Wipro Ltd, TCS Ltd.
    11. Companies Act,2013 and Rules 2 Hrs.
    Exit option for Shareholders
    SVKM’s NarseeMonjee Institute of Management Studies
    Name of School – Kirit P. Mehta School of Law

    3. SEBI (De-listing) Regulations ,2009 as amended to date 2019


    4. Mandatory Tender Offers
    Basic Reading: SEBI, Delisting regulations,2019 Case Study: Vedant delisting
    12. RBI REGULATIONS 2 Hrs.
    ● Payment and Settlement Systems Act,2007 with Rules
    Basic Reading:Bare Act, Case Study: Airtel Payment Bank.
    13. SECURITIES MARKET Regulations as amended to date 3 Hrs.
    ● SEBI (ICDR) Regulations, 2018
    This case can be mentioned here. Sahara India Pariwar Investor Fraud
    Case (This is related to which regulations kindly identify and mention
    the same)
    Basic Reading:SEBI ( ICDR),2018, Case Law:N.Narayanan v SEBI Civil
    Appeal 4112 of 2013.
    Sahara India Real Estate Corp. Ltd v SEBI (2013) 1 SCC 1
    14. SECURITIES MARKET Regulations as amended to date 3 Hrs.
    ● SEBI (FUTP) Regulations, 2003
    ● SEBI (LODR), 2015
    ● SEBI (PIT) 2015
    Basic Reading:
    15. SECURITIES MARKET (CONTD.) 1 Hrs.
    ● Credit Rating Agencies Regulations,1999
    Basic Reading:
    16. SECURITIES MARKET (CONTD.) 2 Hrs.
    ● SEBI Informal Guidance
    ● SEBI Settlement and Consent Terms
    Basic Reading:
    ▪ Deepak Parekh Settlement Order
    ▪ Saurabh Mukerjea Settlement Order
    ● SEBI Compounding in Criminal Cases
    ● SEBI Appeals and Revision
    Basic Reading: SEBI (Settlement of Administrative and Civil
    Proceedings)Reg.,2014 & Sec. 24 B SEBI Act,1992
    17. SECURITIES MARKET (CONTD.) 3 Hrs.
    Failure of Financial NBFC & HFC
    ● IL & FS (Please Mention them under respective sub – head)
    ● Dewan Housing Finance (Please Mention them under respective sub –
    head)
    Basic Reading: Case Study and Judicial orders of the NCLT /High Courts etc.
    18. MISCELLANEOUS 3 Hrs.
    ● Insurance Regulatory & Development Authority
    ● Pension Fund Regulatory & Development Authority
    ● Insurance Ombudsman Rules 2017
    Total 45 Hrs.
    SVKM’s NarseeMonjee Institute of Management Studies
    Name of School – Kirit P. Mehta School of Law

    Text Books:
    1. Dr. G. K Kapoor, Company LAw, 23rd Edition, 2021 Taxmann
    2. Avtar Singh, Company Law, EBC Publications, 17th Edition 2018
    3. Sandeep Parekh,Fraud, Manupulation and Insider Trading in the Indian Securities
    Market .,Wolters Kluver, 2nd Edition 2020
    Reference Books:
    SEBI Manual Taxmann July 2017.
    RBI& SEBI Circulars 2021
    Any other information :
    Workshop on FinTech.
    Any other information:

    Details of Internal Continuous Assessment (ICA): 50 Marks


    Description of ICA Marks
    Research Paper 20 Marks
    Seminar 10 Marks
    Viva 10 Marks
    Class Participation 10 Marks
    Total Marks : 50 Marks

    Mr. Shrikant Aithal


    Signature Signature
    (Prepared by Mr. Shrikant Aithal) (Approved by Dean)

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