L T P/ SW/ TOTA

S FW L
Course Title: INVESTMENT LAW CREDI
Course Code:
T
Credit Units: 03
UNITS
3 - - - 3

Course Objectives:
This paper focuses on the investment and Regulatory Authorities thereto in India in
the contest of new economic order.
The Course will provide students the basic knowledge on the applied aspects of
Investment laws and regulatory/adjudicatory mechanism before the Board,
Tribunal and Courts.

Prerequisites:
The student ought to have the knowledge of contracts, company law and general
understanding about commercial transactions.

Student Learning Outcome:

 Understanding of the investigation, inquiry and procedural intricacies of
Investment laws.
 Comprehension of compliance with regard to the regulatory laws on the
investment involving legal issues.
  Development of capability for the correct interpretation & application of the
Investment laws in the light of case laws.

Course Contents/Syllabus:

Module I Investment and Regulations

Investment in historical perspective , kinds of investment, Shares , Debentures , Mutual
Funds & Derivatives , Establishment of Stock Exchanges , SEBI its composition and
functions,
Module II Corporate Finance and Regulatory Frame Work
Security Contract (Regulation) Act 1956, SEBI Act 1992, SEBI guidelines on
allotment, Insider trading, Depositories Act 1996 including DEMAT system

Module III: Regulatory framework for foreign trade, multinational

companies

Foreign Trade (Development & Regulation) Act 1992, UNCTAD Draft Model on
Trans – national Corporations, Control and regulation of foreign companies in
India, Foreign collaborations and joint ventures.
Module IV: Foreign Exchange Management
Foreign Exchange Management,1999
Background, Policies, Authorities.
Module V: Technology and legal relations with respect to investment
Role of Information technology in the investment market, functioning of DEMAT
A/C portal,
Investment through internet and virtual banking from legal perspectives.

Pedagogy for Course Delivery:

The course will be conducted using lectures, assignments. The students will be
acquainted with important case laws on the subject to understand the intricacies of
the subject including the stock and foreign exchange.
Lab/ Practical details, if applicable: NA

List of Experiments: NA

Assessment/ Examination Scheme:

Assessment/ Examination Scheme:

Theory L/T Lab/Practical/Studio (%) End Term

(%) Examination

30% NA 70%

Theory Assessment (L&T):

Continuous Assessment/Internal Assessment
End Term
Components Examination
(Drop
Mid- Project Viva Attendance
down)
Term
Exam

Weightage
(%)
10% 10% 5% 5% 70%

Text and References:

1. Guide to SEBI capital issues, debentures & listing by K. Sekhar

2 . Bulletin SEBI
3. Annual Report SEBI
4. Securities Law and Compliance by ICSI
4. SEBI Manual by Taxman
5. FEMA Guide (FEMA 1999, Rules, Regulations, Master Circulars, FAQs,
Foreign Contribution & Foreign Trade Law) by V.K.Puri
6. Economic Reforms and India's Foreign Trade by Ahmed Sultan Zafar
7. FEMA Ready Reckoner by Taxmann
8. Bare Acts:
 Security Contract (Regulation ) Act 1956
 SEBI Act 1992
 Depositories Act 1996
 Foreign Trade (Development & Regulation) Act 1992,
 Foreign Exchange Management Act, 1999