Category Archives: Securities And Investment Law

Substantial Acquisition Of Securities Or Control: SEBI Act

Substantial Acquisition Of Securities Or Control: SEBI Act | Overview Objectives of Sebi (Substantial Acquisition of Shares and Takeover) Regulations Public Offer/ Open Offer Disclosures Takeover Regulation Amendment Committee Report (Trac Report) Substantial acquisition of shares and takeover are governed by the guidelines issued by SEBI even before sec 12A of SEBI Act, 1992 was introduced. These regulations… Read More »

Government Securities: Meaning, Types and Risks

Government Securities: Meaning, Types and Risks | Overview Reason for Issuing Government Securities Benefits of Government Securities/ Bonds Risks Attached to Government Bonds/ Securities Internal Securities External Securities This article discusses the meaning of government securities. When the government itself issues any traditional instrument or bonds with a guarantee that the principal amount in addition to the periodic… Read More »

Mutual Funds: Concept, Classification and Regulation

Mutual Funds: Concept, Classification and Regulation | Overview SEBI (Mutual Funds) Regulations Meaning of Mutual Funds as per the Guidelines Classification of Mutual Funds Open-Ended Mutual Funds Closed-ended Mutual Fund Interval Mutual Funds Advantages of Investment in Mutual Funds This article discusses the concept of mutual funds. Numerous investors, who are willing to make money or save it,… Read More »

Insider Trading

Insider Trading | Overview Insider Price Sensitive Information Unpublished Motive Irrelevant for Insider Trading Prevention  of Insider Trading Insider Trading is prohibited activity by virtue of subsection (d) of section 12, which is further included in the wide ambit of subsection (e). Even though it cannot be interpreted as criminal activity under the instance of fraudulent and unfair… Read More »

Prohibition of Manipulative and Deceptive Devices

Prohibition of Manipulative and Deceptive Devices | Overview Prevention of Money Laundering Standard of Proof Under SEC 12a Manipulative and Deceptive Devices Insider Trading Takeover Regulations Takeover Regulation Amendment Committee Report (Trac Report) This essay discusses the Prohibition of Manipulative and Deceptive Devices. There are a lot of securities issued by the companies in the stock market, where… Read More »

Powers and Functions of SEBI

This article provides the “Powers and Functions of SEBI”. SEBI is vested with many powers to fulfil the functions which are vested upon it for the regulation of the securities market. The basic features of the SEBI Act are contained in Sec 11. The primary objectives of this Act, which are stated in Preamble, are again repeated in… Read More »

Management of SEBI

Management of SEBI | Overview Composition of the Board Term of Office and Condition of Service of the Board Remuneration to the Board Removal of Members Meetings Members Not to Participate in Meetings in Certain Cases Officers and Employees of the Board The establishment of SEBI was done to achieve the primary objective of creating such an environment,… Read More »

SEBI: Objective and Establishment (Overview)

SEBI: Objective and Establishment | Overview There are four regional offices of SEBI Purpose of establishing SEBI Functions of SEBI Developmental Functions Protective Functions Regulatory Functions Objectives of SEBI Trinity Principles of Securities Regulations Report on SEBI Act, 1992 Authorities and Powers of SEBI This article discusses the establishment of SEBI. Securities and Exchange Board of India (SEBI)… Read More »

Depositories- Meaning & Its Types

Depositories- Meaning & Its Types | Overview Meaning of ‘Depository’ Recognition of Securities Depository Receipts Indian Depository Receipt (IDRs) American Depository Receipt (ADRs) Global Depository Receipt (GDR) European Depositary Receipt (EDR) Difference between IDRs, ADRs and GDRs Meaning of ‘Depository’ A depository can be defined as a firm or an individual with the capacity to keep the securities… Read More »