NISM ISSUERS COMPLIANCE

I. Introduction to Indian Capital Market

• Understand the Capital Market Structure in India and Role of Capital Market
• Discuss the Regulatory Framework in India

II. Understand the Capital Market Regulations

• Know the SEBI Act, 1992
• Know the Companies Act 1956,
• Know the Securities Contracts (Regulation) Act, 1956
• Know the Listing Agreement
• Know the Foreign Exchange Management Act, 1999 (FEMA)
• Know the Prevention of Money Laundering Act, 2002 (PMLA)
• Know the The Competition Act, 2002
• Know the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 (SEBI(ICDR))
• Know the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
• Know the SEBI (Buy Back of Securities) Regulations, 1998
• Know the SEBI (Prohibition of Insider Trading) Regulations, 1992
• Know the SEBI (Intermediaries) Regulations, 2008
• Know the SEBI (Delisting of Equity shares), Regulations, 2009
• Know the SEBI (Employee Stock Option Scheme and Employee Stock Purchase Scheme) Guidelines, 1999
• Know the Companies (Issue of Indian Depository Receipts) Rules, 2004 (IDR Rules)
• Know the SEBI (Issue of Sweat Equity) Regulations, 2002

III. Discuss the role of Compliance Officer

• Understand the appointment of Compliance Officer
• Know the Role of Compliance Officer
• Learn about the Responsibilities of a Compliance Officer
• Discuss the Reporting requirements

IV. Understand how to Raise Capital from the market

• Why raise money from the market
• Learn about the Evolution of Public Issues
• Know the ways of Raising money

V. Understand the Role of Compliance Officer in IPO

• Planning an IPO
• General Obligations during Public Issue
• Marketing the Issue
• Application Supported by Blocked Amount (ASBA)
• Allotment of Shares
• Listing with Stock Exchanges
• Post Issue Compliances 

VI. Understand the Role of Compliance Officer in other public Issues

• Further Public Offer
• Rights Issue
• Bonus Issue
• Employee Stock Option Plan (ESOP)
• Sweat Equity
• Private Placement
• Indian Depository Receipts (IDR)

VII. Know about the ways to Raise money from foreign market

• Learn about American Depository Receipt (ADR) / Global Depository Receipt (GDR)
• Learn about Foreign Currency Convertible Bonds (FCCB)

VIII. Understand about Corporate Actions

• Know the Related laws and process

IX. Know about the Ongoing Compliance Requirements

• Reports to be submitted as per Listing Agreements
• Compliances under the SEBI (Substantial Acquisition of Shares and Takeovers)
• Regulations, 2011
• Compliances under the SEBI ( Prohibition of Insider Trading) Regulations, 1992
• Appellate Tribunal
• Scores system for investor grievance

X. Additional Read: SAT Cases