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Capital Market

Chapter I

Introduction to the Indian Financial System
1.1	Introduction
1.2	Constituents of a Financial System
1.3	Financial Sector Reforms/ Development
1.4	Investment Avenues
	Summing Up
	Self-assessment

Chapter II

Capital Market
2.1	Meaning of Capital Market
2.2	Features of the Capital Market
2.3	Capital Market in India
2.4	Sources of Supply
	Summing Up
	Self-assessment

Chapter III

The Securities and Exchange Board of India (SEBI)

3.1

Origin of the SEBI

3.2

Objectives of SEBI

3.3

Jobs Entrusted to SEBI

3.4

Role of the SEBI

3.5

Legal Status of the Securities and Exchange Board of India

3.5.1

Functions of the Board

3.6

The Policy Initiatives Undertaken by SEBI During 2005-06 and Published in its Annual Report

Summing Up

Self-assessment

Chapter IV

Capital Market Instruments

4.1

Introduction

4.2

Equity/Ordinary Shares

4.2.1

Evaluation

4.3

Preference Shares

4.4

Debentures/Bonds/Notes

Summing Up

Self-assessment

Chapter V

Primary Market

5.1

Introduction

5.2

Initial Public Offers

5.2.1	Other Conditions
	Procedure in case of the Fixed Price Method

5.3

Book Building Method

5.3.1

Green Shoe Option

5.4

Guidelines on Initial Public Offers through the Stock Exchange On-line System ( e-IPO)

5.5

Private Placement and Preferential Allotment

5.6

Issue of Debt Instruments

Summing Up

Self-assessment

Chapter VI

Role of Intermediaries in the Primary Market
6.1	Introduction
6.2	Merchant Bankers/Lead Managers
6.3	Registration
6.4	Role of Merchant Bankers in IPO’s
6.5	Role of the SEBI in IPOs
6.6	Role of Underwriters
6.7	Role of Bankers to the Issue
6.8	Role of Registrar to the Issue
	Summing Up
	Self-assessment

Chapter VII

Secondary Markets

7.1

Secondary Market

7.2

Trading and Exposure Limits

7.2.1	Listing of Securities
7.2.2	Trading

7.3

Clearing and Settlement

7.4

Market Capitalisation

7.5

Investors

7.5.1

Foreign Institutional Investors (FII’s)

7.6

Volatility

7.6.1	Trend in Prices
7.6.2	Present Scenario

7.7

National Stock Exchange

7.7.1	Objectives of the NSE
7.7.2	Ownership and Management
7.7.3	Membership
7.7.4	Exchange Operations
7.7.5	Derivative Products
7.7.6	Agenda for the Future

Summing Up

Self-assessment

Chapter VIII

Depository
8.1	Introduction
8.2	Structure of the Depository System
8.3	FAQ
	Summing Up
	Self-assessment

Chapter IX

Money Market
9.1	Introduction
9.2	Money Market Instruments
9.3	Debt Market
9.4	Issue of Government Securities
	Summing Up
	Self-assessment

Chapter X

Mutual Funds

10.1

Introduction

10.2

Definition

10.3

Organisation / Structure of Mutual Funds

10.4

Objectives of Mutual Funds

10.5

Advantages of Mutual Funds

10.6

Kinds of Mutual Funds

10.7

Position of Mutual Funds in India

10.7.1

UTI – 64 Scheme

10.8

Restrictions on Investments

10.9

Present Position and Conclusion

10.10

Recent Developments in the Mutual Fund Industry

Summing Up

Self-assessment

Chapter XI

Venture Capital
11.1	Introduction
11.2	Overall Procedure
11.3	Characteristics of Venture Capital
11.4	Features of Venture Capital
11.5	Investment Criteria/ Process
11.6	Due Diligence
11.7	Nature and Scope of Venture Capital
11.8	Forms of Venture Capital Assistance
11.9	Position in India
11.10	Indian Venture Capital Industry
11.11	SEBI Guidelines on Venture Capital Companies
	Summing Up
	Self-assessment

Chapter XII

Concept of Derivatives

12.1

Introduction

12.2

Difference Between Spot Contract and Forward Contract

12.3

Different Terminologies used in F and O

12.4

Futures and Options

12.4.1	Futures
12.4.2	Options
12.4.3	Premium

12.5

Futures and Options – Comparison

12.6

Uses of Derivatives

12.6.1	Hedging
12.6.2	Speculation

Summing Up

Self-assessment

Chapter XIII

Credit Rating Agencies in India
13.1	Introduction
13.2	Benefits/Advantages of Credit Ratings
13.3	Overall Capital Market
13.4	Steps Involved in the Credit Rating Process (ICRA’s Model)
13.5	Information to be Provided to the Credit Rating Agency
13.6	Limitations of Credit Ratings
13.7	Position in India
13.8	SEBI Guidelines on Credit Rating
	Summing Up
	Self-assessment

Chapter XIV

Capital Market Terminologies
14.1	Definitions of Terminology
	Summing Up
	Self-assessment

Chapter XV

Non Banking Finance Companies
15.1	Introduction
15.2	Frequently Asked Questions on NBFCs
15.3	FAQs on Mutual Funds
	Summing Up
	Self-assessment

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