Alkesh Dinesh Mody Institute for Financial & Management Studies

SYMMS
Financial Regulations
2019-20
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Internal Assessment

The internal assessment for the subject “Financial Regulations” will be conducted in following
manner:

 Submission of Project Report in word format

 Group Presentation
 Note

Detailed requirements are as follows :

 Project Report

 The class will be divided into 10 groups. The details of Groups & Topics for Project Report
are as per Annexure.

Each group shall submit a “Project Report” comprising of not more than 100 pages covering
the topic. The project report shall comprise of a Certificate, Acknowledgement, Roll No.,
Name & signatures of the students, Index and Bibliography.
 The project shall cover basically the understanding of the subject, Importance of the topic,
reference to relevant rules, regulations, laws etc., case studies and conclusion. Case Studies
shall be included in brief in the Project Report. Students are free to include any charts,
graphs, statistics etc. to justify the project. Presentation of project report shall be in well
defined paragraphs.

 The project is aimed at drawing a “conclusion” about the topic, its relevance & importance.
The conclusion shall include a brief on understanding the subject of the project and
inference/views after completion of project.

 The project report shall be neatly bound and well formatted with adequate margin.

 The project report shall be submitted on or before Saturday, 19th October 2019 duly signed
by each student. The soft copy of the presentation shall be mailed in advance at e-mail id
usp@keynoteindia.net.

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 ADMI – SYMMS – FINANCIAL REGULATIONS – INTERNAL ASSESSMENT

 Presentation

 All the groups are required to make presentation in the class room on Saturday, 19th
October 2019.

 Each student will be given 5 minutes to make a brief presentation regarding the project
or any part of it.

 Time being of essence, the entire presentation shall be completed within the prescribed
time of 5 minutes for each student. Excess time consumed will be considered as
negative.

 Weightage will be given for appearance, manner of presentation and other attributes
like behavior, voice module, synchronization within the group etc.

 Students are encouraged to use any format of presentation such as skits or

dramatization of the topic or any other innovative ideas.

 Order of presentation will be decided on the day of presentation at random lots.

 Note

 Each student must submit an independent note addressed to the professor ‘in their
own handwriting’. A note shall cover ;
- A brief about student, Educational Qualification, Background, Experience etc.
- About class
- About college
- About experience while working in a group on the project
- Contribution of each other while preparation of project
- About professor(s)

 The note shall be submitted in a sealed cover with the name and roll no. of student
being written on the note as well as on the envelope. A note shall not comprise of more
than 2 pages (front & back) with adequate margin. Students are encouraged to give
their frank opinions and observations in respect of all or any of the matters. The
contents of the note would be kept confidential.

The internal assessment will be based on all the above aspects as well as general attendance,
participation in the classroom & interest/enthusiasm observed while attending the class etc.
No indiscipline & delay will be tolerated in the process of internal assessment & attendance is
compulsory.
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 ADMI – SYMMS - FINANCIAL REGULATIONS - INTERNAL ASSESSMENT
2019-20

Annexure

Group Roll
Topic
No. Nos.
1 1–5 Competition Policy - An Essential Requirement

2 6 – 10 Takeovers/Acquisition of Indian Listed Companies

3 11 – 15 Credit Rating Agencies – A Challenging Field

4 16 – 20 Prevention of Money Laundering – A must for curbing black money

5 21 – 25 Initial Public Offers in Indian Capital Markets

6 26 – 31 Mutual Funds – An important avenue to investor(s)

7 32 – 37 SEBI – Capital Market Regulator

8 38 – 43 IRDA – Insurance Regulator

9 44 – 49 RBI – Supervisor of Financial Sector

10 50 - 55 Overview of Capital Market & Participants

Prof. Uday Patil