G.J.

Advani Law College

(Affiliated to the University of Mumbai)

Bandra, Mumbai

Offers Certificate Course in Securities Laws in Securities

Laws
Offers Certificate Course in Securities Laws
Course Duration: 30 hours of online classroom training and
About the College: assessment. (Saturdays 11.45 AM to 1.45 PM)
SO
The HSNC Board
established G.J.
Advani Law College in Mode of Teaching
Resource Persons: Practitioners in Securities market related
the year 1977. The laws.
college is permanently
affiliated to the
University of Mumbai Eligibility: Law Students, Law Graduates, Company Secretaries,
and is recognized u/s. Compliance Officers, Final year students of graduation courses
2(f) and 12 (B) of UGC
Act and Bar Council of
India to impart 3 Year
LL.B. course. The
Course Fee: Rs. 4720/- (Including GST). Registration and
college strives for
Payment details on the next page
excellence and our
vision is to impart rich
heritage of legal
thoughts and values.
Our motto “Dharma
Last date for enrolment: March 31, 2021
Rakshit Rakshite”
envisions grooming our
students to be the
custodians and
champions of law” Faculty Coordinators: Ms. Annmol Chacko, Asst. Professor (Phone:
8928301862) & Ms. Bushra Quasmi (Phone: 9953189339)
 Course Outline & Objectives

The Certificate Course in Securities Laws is designed to provide specialized

knowledge and study of legal framework in the realm of securities markets. The
program is primarily for the benefit of those who intend to choose their careers in
legal and compliance areas of securities market.

The objectives of the course are primarily:

To develop a broad perspective of securities laws.

To understand the legal and compliance aspects relating to the securities
market in India.
To understand SEBI’s function and role as the primary regulator of securities
market and;

To understand the role of intermediaries in the securities market.

Assessment Pattern

Case Study and Project Presentation: 30 Marks and Final Exam: 70 Marks

Attendence:

70% Mandatory

Eligibility for Certificate:

70% attendance and 50% marks in the Case Study & Project Presentation and
50% Marks in the Final Exam

Online Fee Payment Details & Registration

Name: G. J. Advani Law College

Bank: Axis Bank, Bandra
Account Number :916010086823257
IFSC CODE: UTIB0000028
(Payment Description-"Your Name" Securities Laws) *Screenshot of Payment Receipt to
be attached while filling registration form

Register at https://forms.gle/JLfBTjbZfFFxSMQ49
 Course Structure

The course is divided into 5 Modules:

Module 1

Introduction to the concept of Securities Markets and to definitions of certain terms

associated with Securities Laws - Historical perspectives of Securities Markets and the
development of Securities Laws in India.

Module 2

An overview of Securities Laws in India:

• Securities Contracts (Regulation) Act, 1956 and Bye laws, rules and regulations of
recognized Stock Exchanges. • Securities and Exchange Board of India Act, 1992
• Depositories Act, 1996 and SEBI (Depositories and Participants) Regulations, 2018
• SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
• SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
• SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
• SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market)
Regulations, 2003.
• SEBI (Prohibition of Insider Trading) Regulations, 2015

Module 3

• Mutual Funds
• Alternative Investment Funds
• Collective Investment Schemes

Module 4

Securities Markets Intermediaries: • Stock Brokers

• Merchant Bankers
• Credit Rating Agencies

• Portfolio Managers • Investment Advisors

Module 5

• Regulatory Procedures • Regulatory Actions

• Regulatory Settlement • Appeals