SEBI ppt.pptx

8/11/2019 SEBI ppt.pptx

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A

PRESENTATION ON

Presented by: RONAK AKHANI(01) JAYESH PATEL(32) CHAN RAKANT PRAJAPATI (!1)

Presented to:Ms. DIPALI PATEL


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INTRO "CTION #$r%ed: 12 t& A'r *1++2

Est,b s&ed by: -$.ern%ent $/ Ind ,

He,d ,rters: %b, * ,&,r,s&tr,


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HISTORYIn t , y SE I 4,s , n$n st,t t$ry b$dy 4 t&$ t ,ny st,t t$ry

'$4er5

H$4e.er n 1++6* t&e SE I 4,s 7 .en ,dd t $n, st,t t$ry '$4er

by t&e -$.ern%ent $/ Ind , t&r$ 7& ,n ,%end%ent t$ t&e Se8 r ty

,nd E98&,n7e $,rd $/ Ind , A8t 1++25

In A'r * 1++ t&e SE I 4,s 8$nst t ted ,s t&e re7 ,t$r $/ 8,' t,

%,r;et n Ind , nder , res$ t $n $/ t&e -$.ern%ent $/ Ind ,5


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ESTA LISH ENT O# SE I

T&e se8 r ty ,nd e98&,n7e b$,rd $/ Ind , 4,s est,b s&ed

$n A'r 12* 1++2 n ,88$rd,n8e 4 t& t&e 'r$. s $ns $/ t&e

Se8 r t es ,nd E98&,n7e $,rd $/ Ind , A8t* 1++25

Its %, n / n8t $n s t$ st$' /r, d ent ,8t . t es $/ st$8;%,r;et5


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OR-ANI


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SEC"RITIES AN E=CHAN-E OAR O#

IN IA ACT* 1++2An A8t t$ 'r$. de /$r t&e est,b s&%ent $/ , b$,rd t$

'r$te8t t&e nterests $/ n.est$rs n se8 r t es ,nd t$

'r$%$te t&e de.e $'%ent $/* ,nd t$ re7 ,te* t&e

se8 r t es %,r;et ,nd /$r %,tters 8$nne8ted t&ere 4 t&

$r n8 dent, t&ere t$5


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O JECTI>EST&e $.er, $b?e8t .es $/ SE I ,re t$ 'r$te8t t&e nterest $/ n.est$rs ,nd t$ 'r$%$te

t&e de.e $'%ent $/ st$8; e98&,n7e ,nd t$ re7 ,te t&e ,8t . t es $/ st$8; %,r;et5 T&e

$b?e8t .es $/ SE I ,re:

15 T$ re7 ,te t&e ,8t . t es $/ st$8; e98&,n7e5

25 T$ 'r$te8t t&e r 7&ts $/ n.est$rs ,nd ens r n7 s,/ety t$ t&e r n.est%ent5

35 T$ 're.ent /r, d ent ,nd %, 'r,8t 8es by &,. n7 b, ,n8e bet4een se / re7 ,t $n

$/ b s ness ,nd ts st,t t$ry re7 ,t $ns5

!5 T$ re7 ,te ,nd de.e $' , 8$de $/ 8$nd 8t /$r nter%ed ,r es s 8& ,s br$;ers*

nder4r ters* et85


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FunctionsT&e SE I A8t* 1++2 &,s entr sted 4 t& t4$ / n8t $ns*

t&ey ,re

Pr$te8t .e / n8t $ns

Re7 ,t$ry / n8t $ns

e.e $'%ent, / n8t $ns


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PROTECTI>E #"NCTIONSIt C&e8;s Pr 8e R 77 n7

It Pr$& b ts Ins der tr,d n7

SE I 'r$& b ts /r, d ent ,nd "n/, r Tr,de Pr,8t 8es

SE I ndert,;es ste's t$ ed 8,te n.est$rs

SE I 'r$%$tes /, r 'r,8t 8es ,nd 8$de $/ 8$nd 8t nse8 r ty %,r;et


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RE-"LATORY #"NCTIONSRe7 ,t $n $/ st$8; e98&,n7e ,nd se / re7 ,t$ry $r7,n @,t $ns5

Re7 str,t $n ,nd re7 ,t $n $/ st$8; br$;ers* s b br$;ers* Re7 str,rs t$ ,

ss es* %er8&,nt b,n;ers* nder4r ters* '$rt/$ $ %,n,7ers et85Re7 str,t $n ,nd re7 ,t $n $/ t&e 4$r; n7 $/ 8$ e8t .e n.est%ent s8&e%es

n8 d n7 % t , / nds*

Pr$& b t $n $/ /r, d ent ,nd n/, r tr,de 'r,8t 8es re ,t n7 t$ se8 r t es %,r;et5

Pr$& b t $n $/ ns der tr,d n75

Re7 ,t n7 s bst,nt , ,8 s t $n $/ s&,res ,nd t,;e$.er $/ 8$%',n es5


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E>ELOP ENT #"NCTIONS(I) SE I 'r$%$tes tr, n n7 $/ nter%ed ,r es $/ t&e se8 r t es %,r;et5

( ) SE I tr es t$ 'r$%$te ,8t . t es $/ st$8; e98&,n7e by ,d$'t n7

/ e9 b e ,nd ,d$'t,b e ,''r$,8& n /$ $4 n7 4,y:

(,) SE I &,s 'er% tted nternet tr,d n7 t&r$ 7& re7 stered st$8; br$;ers5

(b) SE I &,s %,de nder4r t n7 $'t $n, t$ red 8e t&e 8$st $/ ss e5

(8) E.en n t , ' b 8 $//er $/ 'r %,ry %,r;et s 'er% tted t&r$ 7& st$8;

e98&,n7e5


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P"RPOSE AN ROLE O# SE ISE I 4,s set ' 4 t& t&e %, n ' r'$se $/ ;ee' n7 , 8&e8; $n %, 'r,8t 8es ,nd 'r$te8t

t&e nterest $/ n.est$rs5 It 4,s set ' t$ %eet t&e needs $/ t&ree 7r$ 's5

1. Issuers:

#$r ss ers t 'r$. des , %,r;et ' ,8e n 4& 8& t&ey 8,n r, se / n,n8e /, r y ,nd e,s y5

2. Investors:

#$r n.est$rs t 'r$. des 'r$te8t $n ,nd s '' y $/ ,88 r,te ,nd 8$rre8t n/$r%,t $n5

3. Intermediaries:

#$r nter%ed ,r es t 'r$. des , 8$%'et t .e 'r$/ess $n, %,r;et5


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PO ERSP$4er t$ 8, 'er $d 8, ret rns /r$% re8$7n @ed st$8; e98&,n7es5

P$4er t$ 8$%'e st n7 $/ se8 r t es by ' b 8 8$%',n es5

P$4er t$ e.y /ees $r $t&er 8&,r7es /$r 8,rry n7 $ t t&e ' r'$ses $/

re7 ,t $n5

P$4er t$ 8, n/$r%,t $n $r e9' ,n,t $n /r$% re8$7n @ed st$8;

e98&,n7es $r t&e r %e%bers5

P$4er t$ 7r,nt ,''r$., t$ byeB ,4s $/ re8$7n @ed st$8; e98&,n7es5


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C$ntP$4er t$ 8$ntr$ ,nd re7 ,te st$8; e98&,n7es5

P$4er t$ d re8t en r es t$ be %,de n re ,t $n t$ ,//, rs $/ st$8; e98&,n7es $r

t&e r %e%bers5

P$4er t$ %,;e $r ,%end byeB ,4s $/ re8$7n @ed st$8; e98&,n7es5

P$4er t$ 7r,nt re7 str,t $n t$ %,r;et nter%ed ,r es5

P$4er t$ de8 ,re ,'' 8,b ty $/ Se8t $n 1D $/ t&e Se8 r t es C$ntr,8t

(Re7 ,t $n) A8t 1+6 * n ,ny St,te $r ,re,* t$ 7r,nt 8enses t$ de, ers nse8 r t es5


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SE I F CENTRAL -O>T5T&e Centr, -$.ern%ent &,s '$4er t$ ss e d re8t $ns t$ SE I $,rd* s 'ersede

t&e $,rd* / ne8ess,ry ,nd t$ 8, /$r ret rns ,nd re'$rts ,s ,nd 4&en ne8ess,ry5

T&e Centr, -$.ern%ent &,s , s$ '$4er t$ 7 .e ,ny 7 de ne $r t$ %,;e

re7 ,t $ns ,nd r es /$r SE I ,nd ts $'er,t $ns5

T&e ,8t . t es $/ SE I ,re / n,n8ed by 7r,nts /r$% Centr, -$.ern%ent* n ,dd t $n

t$ /ees* 8&,r7es et85 8$ e8ted by SE I5 T&e / nd 8, ed SE I -ener, # nd s set

'* t$ 4& 8&* , /ees* 8&,r7es ,nd 7r,nts ,re 8red ted5 T& s / nd s sed t$ %eet t&e

e9'enses $/ t&e $,rd ,nd t$ ',y s, ,ry $/ st,// ,nd %e%bers $/ t&e b$dy5


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SE I &,s Re7 ,tedPr %,ry ,r;et

Se8$nd,ry ,r;et

t , # nds ,nd

#$re 7n Inst t t $n, In.est%ents


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Pr %,ry ,r;etPr %,ry %,r;et $/ 8,' t, %,r;et ' ,ys , s 7n / 8,nt r$ e

n &e ' n7 %$b @,t $n $/ 8,' t, ,nd n.est%ent

/$r%,t $n5 ,ny ty'es $/ nter%ed ,r es 8,rry $ t t& s

r$ e .ery e//e8t .e y5


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Se8$nd,ry ,r;etSe8$nd,ry %,r;et s , %,r;et 4&ere se8 r t es ,re tr,ded

,/ter n t , y be n7 $//ered t$ t&e ' b 8 n t&e 'r %,ry

%,r;et ,ndG$r sted $n t&e St$8; E98&,n7e5 ,9 % % $/

t&e tr,d n7 s d$ne n t&e se8$nd,ry %,r;et5


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t , # ndIt s , ty'e 8$ e8t .e n.est%ent t&,t '$$ s %$ney /r$%

%,ny n.est$rs t$ b y st$8;s* b$nds* s&$rtBter% %$ney

%,r;et nstr %ents* ,nd $t&er se8 r t es

SE I n$t / ed t&e re7 ,t $n /$r t&e % t , / nd 1++3


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#$re 7n Inst t t $n In.est$r (,) se8 r t es n t&e 'r %,ry ,nd se8$nd,ry %,r;ets

n8 d n7 s&,res* debent res $/ 8$%',n es n sted* sted

$r t$ be sted $n , re8$7n @ed st$8; e98&,n7e n Ind ,

(b) n ts $/ s8&e%e / $,ted by d$%est 8 % t , / nds

n8 d n7 "n t Tr st $/ Ind ,* 4&et&er sted $n ,

re8$7n @ed st$8; e98&,n7e $r n$t


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