Course Curriculam

Course Code: LAW463 Credit Units L T P/S SW AS/DS FW No. of PSDA Total Credit Unit
Course Level UG 3 0 0 0 0 0 0 3
Course Title Financial Market Regulation

Course Course relating to various aspects of financial market

Description :

Course Objectives :

SN
Objectives
.
The Course coverage would enable the students to have an in-depth understanding of Financial Market and Regulatory mechanism thereto, besides,
1 procedure for grievance redressal etc. The course will also traverse among others the laws in relation to financial system, stock exchange,
competition and FEMA The course preserves the theoretical and pragmatic amalgamation.

Pre-Requisites : General

Course Contents / Syllabus :

SN. Module Descriptors / Topics Weightage

Module-I An
overview of - Constituents of Financial system - Significance of Financial system - Development and Growth of Financial and
1 25.00
Financial Market in India - Regulatory Authorities Governing Financial Market
System
Regulatory and judicial perspective pertaining to: 1. Securities and Exchange Board of India (Stock Brokers and Sub-
Module II:
Brokers) Regulations, 1992 2. Securities and Exchange Board of India (Prohibition of Fraudulent and Unfair Trade
SEBI
Practices relating to Securities Market) Regulations, 2003 3. Securities and Exchange Board of India (Prohibition of
(Securities
2 Insider Trading) Regulations, 2015 4. Securities and Exchange Board of India (Mutual Funds) Regulations, 1996 5. 25.00
Exchange
Securities and Exchange Board of India (Venture Capital Funds) Regulations 1996 6. Securities and Exchange Board
Board of
of India (Foreign Institutional Investors ) Regulations, 1995 7. Securities and Exchange Board of India (Buy-back of
India)
Securities) Regulations, 2018
Module III:
Capital
Meaning & Significance Capital Market Instruments Money Market Instruments Capital Market vis-à-vis Money Market
3 Market and 25.00
Formation and Regulation of NBFCs
Money
Market
Competition Act, 2002 , Aims, Objectives, Prohibition of Certain Agreements, Abuse of Dominant Position and
Module –IV Regulation of Combinations and Penalties” Securities and Exchange Board of India (Substantial Acquisition of Shares
Competition and Takeovers) Regulations, 2011 CCI (Procedure in regard to the transaction of Business relating to Combinations)
4 25.00
& FEMA Regulations, 2011 CCI (Manner of Recovery of Monetary Penalty) Regulations, 2011 CCI (General) Regulations,
Laws 2009” FEMA(Foreign Exchange Management Act): Aims, Objectives, Definitions, Regulations regarding Foreign
Currency, Offences and Penalties.

Course Learning Outcomes :

SN. Course Learning Outcomes

1 This course acquaints students with the Financial Market and various instruments related thereto.

2 After undergoing the course student will be having sufficient knowledge about financial instruments, money market, stock exchange, foreign
 exchange etc, besides, the regulatory mechanism thereto.

Pedagogy for Course Delivery :

SN. Pedagogy Methods

The course will be conducted using lectures, assignments, video lectures. The students will be acquainted with important case laws on the subject
1
to understand the intricacies of the subject including the stock and foreign exchange.

Theory /VAC / Architecture Assessment (L,T & Self Work): 100.00 Max : 100

Attendance+CE+EE : 5+25+70

SN. Type Component Name Marks

1 Attendance 5.00
2 End Term Examination (OMR) 70.00
3 Internal CASE DISCUSSION 5.00
4 Internal CLASS TEST 10.00
5 Internal PROJECT 10.00

Lab/ Practical/ Studio/Arch. Studio/ Field Work Assessment : 0.00 Max : 100

N/A

List of Professional skill development activities :

No.of PSDA : 0
N/A

Text & References :

SN. Type Title/Name Description ISBN/ URL

1. E. Gordon & H. Natarajan, Capital
1 Book Market in India; Himalaya publishing
House, Ramdoot, Dr. Bh
2. V.L. Lyer, SEBI practice Manual; Taxman
2 Book allied Service (P) Ltd; 59/32, New Rohtak
Road, New
3. M.Y. Khan, Indian Financial Systems;
3 Book Tata Mcgraw Hill, 4/21, Asaf Ali Road, New
Delhi-110010
5. A.K. Senguma& A,K, Agarwal, Money
4 Book
Market Operations in India: Skylark
8. Bharat V. Pathak,” Indian Financial
5 Book
System”, Pearson Education, 3rd Edition