NISM ISSUERS COMPLIANCE
I. Introduction to Indian Capital Market
Understand the Capital Market Structure in India and Role of Capital Market
Discuss the Regulatory Framework in India
II. Understand the Capital Market Regulations
Know the SEBI Act, 1992
Know the Companies Act 1956,
Know the Securities Contracts (Regulation) Act, 1956
Know the Listing Agreement
Know the Foreign Exchange Management Act, 1999 (FEMA)
Know the Prevention of Money Laundering Act, 2002 (PMLA)
Know the The Competition Act, 2002
Know the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 (SEBI(ICDR))
Know the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
Know the SEBI (Buy Back of Securities) Regulations, 1998
Know the SEBI (Prohibition of Insider Trading) Regulations, 1992
Know the SEBI (Intermediaries) Regulations, 2008
Know the SEBI (Delisting of Equity shares), Regulations, 2009
Know the SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999
Know the Companies (Issue of Indian Depository Receipts) Rules, 2004 (IDR Rules)
Know the SEBI (Issue of Sweat Equity) Regulations, 2002
III. Discuss the role of Compliance Officer
Understand the appointment of Compliance Officer
Know the Role of Compliance Officer
Learn about the Responsibilities of a Compliance Officer
Discuss the Reporting requirements
IV. Understand how to Raise Capital from the market
Why raise money from the market
Learn about the Evolution of Public Issues
Know the ways of Raising money
V. Understand the Role of Compliance Officer in IPO
Planning an IPO
General Obligations during Public Issue
Marketing the Issue
Application Supported by Blocked Amount (ASBA)
Allotment of Shares
Listing with Stock Exchanges
Post Issue Compliances
VI. Understand the Role of Compliance Officer in other public Issues
Further Public Offer
Rights Issue
Bonus Issue
Employee Stock Option Plan (ESOP)
Sweat Equity
Private Placement
Indian Depository Receipts (IDR)
VII. Know about the ways to Raise money from foreign market
Learn about American Depository Receipt (ADR) / Global Depository Receipt (GDR)
Learn about Foreign Currency Convertible Bonds (FCCB)
VIII. Understand about Corporate Actions
Know the Related laws and process
IX. Know about the Ongoing Compliance Requirements
Reports to be submitted as per Listing Agreements
Compliances under the SEBI (Substantial Acquisition of Shares and Takeovers)
Regulations, 2011
Compliances under the SEBI ( Prohibition of Insider Trading) Regulations, 1992
Appellate Tribunal
Scores system for investor grievance
X. Additional Read: SAT Cases