SEBI and the Regulatory Framework

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The book covers guidelines issued by SEBI and governing issues of securities by corporate and regulations issued by SEBI and relating to merchant bankers, stockbrokers and sub-brokers, debenture trustees, portfolio managers, mutual funds and foreign institutional investors. The text also covers relevant provisions in SEBI Act, 1992. Key Features: Designed in Modular Form, Detailed discussion on working of SEBI, Overview of Indian Securities Market. Detailed discussion on role of SEBI in prevention of securities scams with reference to three major securities scams namely Harshad Mehta case, ketan Parekh case and the recent IPO Scam, Covers text of rules, regulations and guidelines issued by SEBI, Discussion on Penalties, adjudication and role of SAT. The book is intended for use by students of management as well as professional in the field of financial management.

ABOUT THE AUTHOR Shrinivas Tapadia

Shrinivas Tapadia is working as a lecturer with Sinhgad Institute of management, Pune. Previously he has worked as a lecturer with Institute of Management Studies, career development and research, Ahmednagar. He is teaching Merchant Banking, Financial services, Risk Management, Financial Institutions and markets and Management Accounting. He is a graduate in Business Administration (BBA) from Vidya Bharti Mahavidyalaya, Amravati and holds a masters degree in Business Administration (MBA) specializing in Finance and Human resource management from department of Business Administration and management, Amravati University, Amravati. He has cleared Foundation and Intermediate Levels and is also registered to Final Course of CS examinations.