NSE LECTURE SERIESCapital Market Laws and Practices

an aid to galvanise career as a market professional

Regd. O ffice:

Nat ional Stock Exchange of I ndia Ltd. Exchange Plaza ,

C-1 Block G, Bandra- Kur la Complex, Bandra (E) ,

Mumbai-400051.

Tel : +91 22 26598100. Fax : +91 22 26598120.

NSE LECTURE SERIES

On Capital Market Laws and Practices

OverviewTo support the legislative and regulatory reform aimed at fostering transparency, accountability and sophistication in the capital market, there is a need for a pool of smart professionals who can understand the intricacies of these reforms and can guide market participants to be compliant.

In response to this requirement, a program has been conceived to bring together highly experienced legal experts and practitioners to provide their insights on the nature and practical significance of the changing legal framework governing the capital market. This program, comprising a series of 12 lectures, is aimed at helping market professionals gain a clearer perspective of the extant legal and regulatory framework, and receive authoritative guidance on transactional and compliance issues. The program would be driven by a Steering Committee and speakers comprising legal experts and practitioners. The Institute of Company Secretaries of India (ICSI) is logo partner in this initiative.

Benefits of attending

Get an improved understanding of the nuances of the capital market laws and practices

Interact with legal experts, and understanding their views on important issues and developments Get a detailed account of new regulations in India such as the Insolvency and Bankruptcy Code and the Financial Resolution and Deposit Insurance Bill

Build a strong corporate network among market intermediaries

The members of ICSI who attend this program will get credit hours from ICSI as per the Institute’s guidelines

Receive a ‘Certificate of participation’ from NSE at the end of the Lecture Series for attending at least 8 lectures

Get a well-researched preparatory material before each lecture

NSE Lecture

Series

Introduction to Capital Market Laws and Practices

Overview of Market Intermediaries

Capital Raising

Listing and Role of Intermediaries

Trading in Secondary Market – Part 1

Trading in Secondary Market – Part 2

A description of the key capital market regulators; their powers and responsibilities and the objectives and scope of key legislations governing capital market.

A description of the role of key market intermediaries, including Merchant Bankers, Trading Members, Depositories, DPs, Custodial Participants and RTAs.

A description of the means of capital raising, the differences between public issues and private placements and key legislations governing capital raising.

An in-depth study of key processes involved in an IPO, advantages and disadvantages of listing, regulatory framework, requirements of listing and role on intermediaries including Merchant Bankers, Lawyers, Registrars to the issue, Bankers to the issue, Underwriters, etc.

An introduction to the types of secondary markets, its importance, study of products offered in the secondary market, role of key intermediaries in secondary market and key regulations governing secondary market.

A study of the pr inciples of corporate governance, histor ical developments, responsibil it ies of the Board of l isted companies, and international best practices.

A study of the requirements for and process of compulsory and voluntary delisting, recent amendments to the regulations, the share buy-back process, and relevant case studies

A study of key definitions and concepts, important exceptions, disclosures and codes of conduct under the Insider Trading regulations, the role of stock exchanges and regulators in implementa-tion and relevant case studies.

A study of key statutory definitions and concepts, historical development, steps involved in making an open offer, key compliances, and relevant case studies.

A study of types of corporate restructur-ing, approaches to valuation, preparation of scheme of amalgamation and valuation report, applicable laws, strategy forma-tion during corporate restructuring, strategizing tools and procedures for M&As.

An introduction to IBC and FRDI, key provisions, recent amendments in regula-tions, role and power of NCLT and DRT, and liquidation process

LECTURE TOPICS BRIEF DESCRIPTION LECTURE TOPICS BRIEF DESCRIPTION

Scope of the Lecture Series

01

02

03

07

08

04

05

06

09

10

11

12

Corporate Governance: Laws and Practices

Delisting and Share Buybacks

Insider Trading: Laws and Case Studies

Takeover Code: Laws and Case Studies

Corporate Restructuring

IBC and FRDI

NSE Lecture

Series

Who can attend?

We invite registrations from corporates, law firms, banks, NBFCs and market intermediaries such as mutual funds, RTAs, Fl ls, trading members etc. Professionals studying to be Chartered Accountants, Company Secretaries and Lawyers can also register for the Lecture Series.

Dr. M.S. Sahoo, ChairpersonInsolvency and BankruptcyBoard of India

“ I compliment the National Stock Exchange of India Limited for this lecture series, which provides a platform for some of the best minds in India to shape the contemporar y thoughts on issues relating to the Indian securit ies market.”

Mr. Suhail Nathani, Managing PartnerEconomic Laws Practice

“Continued education is ‘basic hygiene’ for today ’s professionals. The faculty and format put in place by NSE allows for busy profes-sionals to update themselves in a practical and comprehensive way."

Mr. Dara Kalyaniwala, Vice PresidentInvestment BankingPL Capital Markets Pvt. Ltd.

“A ver y well designed programme focused on the practice of Capital Market related laws with great uti l ity for the par ticipants.”

Mr. Sai Venkateshwaran, Par tner and Head Accounting Advisory ServicesKPMG

“As a platform, I believe it provides both professionals and industr y par ticipants a unique oppor tunity to engage in a discussion and debate on both evolving subjects as well as current hot topics.”

Mr. Sharad AbhyankarPartnerKhaitan & Co.

“ The NSE Lecture Series is one of the most comprehensive curriculum that gives a simplified over view of the complex framework within which the securit ies markets operate.”

Mr. Yash AsharPartnerCyril Amarchand Mangaldas

“ I was happy to be involved in the init ial conceptualisation of the course and then of course to be a speaker. I t has attracted many market par ticipants. I t ’s a great platform for learning.”

NSE Lecture

Series

Quotes from past speakers

Registration for NSE Lecture Series shall be accepted online on

our webpage:

https://www.nseindia.com/research/content/CMLP_lecture_series.htm

A nominal fee of Rs 15000 (inclusive of GST ) per person will be

charged for attending the entire lecture Series and for group

enrollment (3 - 5 persons) the fee would be Rs 12000 (inclusive of

GST ) per person

In the event a participant is unable to attend, he or she can

nominate another participant with advance intimation to NSE at

least 7 business days before the scheduled lecture. The

nominated participant shall carry the Privilege card provided by

NSE to the registered participant for attending the lecture.

Due to limited number of seats, registration will be on first come

first serve basis. The last date for registration is June 28, 2018;

registration may however close earlier if all seats get booked.

Type of Payment Individual Corporate/TM

Debit Card

Crebit Card

Net Banking

UPI

Cheque

NSE Lecture

Series

NOTE

1. Account Payee Cheque should be favouring National Stock Exchange of India Limited

2. Amount payable will be Rs. 15,000/- per participant and Rs. 12,000/- per participant

in

case of group registration (3 – 5 participants)

3. Cheques should be received at NSE at the below address within 3 business days from

the date of registration, failing which your seats will be cancelled.

Economic and Policy Research Department

National Stock Exchange of India Limited

Third Floor, Exchange Plaza, Bandra Kurla Complex,

Bandra East, Mumbai – 400051

4. Registration will be confirmed only after realisation of the cheque.

5. Online registration is mandatory for all modes of payments including cheques.

6. I f a corporate /trading member makes payment through cheque after deducting tax

at source, it has to send the TDS certificate to the address below:

Finance & Accounts Department,

National Stock Exchange of India Limited,

A-wing 3rd Floor, Exchange Plaza,

Bandra-Kurla Complex,

Mumbai 400051

Registration

Payment Mode

Program Schedule

Commences fr om 29th June 2018

F r eq uency of l ectur es Once a month

Venue National Stock Exchange of India,

Dr. R. H. Patil Auditorium

Exchange Plaza, Bandra-Kurla

Complex, Mumbai 400051.

T i me 4:00 pm – 6:30 pm

Date Last Friday of each month (unless

otherwise notified)

Program DirectorsNirmal Mohanty, Sr. Vice President and Chief Economist, NSE

M. Vasudev Rao, Sr. Vice President and General Counsel, NSE

Contact personsAshiana Salian (asalian@nse.co.in)

Somroop Mukherjee (smukherjee@nse.co.in)

NSE Lecture

Series