sebi sujata.ppt

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    Securities & Exchange Board of India

    Sujata Raikwar

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    Contents

    Introduction

    Objectives of SEBI

    Powers & Functions of SEBIStructure of SEBI

    Various Departments under SEBI

    Powers of Central overnment!mendments

    Sri Parshuram Institute of Technology & Research 2

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    Introduction

    • SEBI is the Regulator for the Securities Market inIndia.

    • Originally set up by the Governent of India in !"##$it ac%uired statutory for in !""& 'ith SEBI (ct!""& being passed by the Indian )arliaent.*haired

     by * B Bhave$ SEBI is head%uartered in the popular business district of Bandra+,urla cople- inMubai.

    Sri Parshuram Institute of Technology & Research 3

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    Objectives

     "o protect t#e interest of investors so t#at t#ereis a stead$ %ow of savins into t#e capitalmar'et(

     "o promote t#e development and to reulatet#e securities mar'et (

    Ensure fair practices b$ t#e issuers of securitiesso t#at t#e$ can raise resources at minimum

    cost(

     "o promote e)cient services b$ bro'ers*merc#ant ban'ers and ot#er intermediaries sot#at t#e$ become competitive and professional(

    Sri Parshuram Institute of Technology & Research 4

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    REGIONAL OFFICES+( ,ew Del#i

    -( .ol'ata

    /( C#ennai

    0( !#madabad

    +( 1aipur

    -( Banalore

    /( uwa#ati

    0( B#ubaneswar2( Patna

    3( .oc#i

    4( C#andiar#

    Sri Parshuram Institute of Technology & Research 5

    SEBI B#avan* 5umbai 6ead7uarters 8inBandra .urla Comple9:

    Local Offices

    http://en.wikipedia.org/wiki/Bandra_Kurla_Complexhttp://en.wikipedia.org/wiki/Bandra_Kurla_Complex

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    2.DEVELOPMENTAL

    FUNCTIONS

    i( Promotin investors education(

    ii( "rainin of intermediaries(

    iii( Conductin researc# and publis#ininformation useful to all mar'etparticipants(

    iv( Promotin of fair practices(v( Promotion of self reulator$

    oranisations(

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    STRUCTURE OF SEBI

      he board shall consist of the follo'ing ebers /+

    Chairman

    'o ebers$ one fro aongst the officials of the

    *entral governent dealing 'ith finance and another fro

    the adinistration of *opanies (ct$!"01.

    One eber fro aongst the officials of the Reserve

    Bank of India.2ive other ebers of 'ho at three shall be the whole

    time members to be appointed by the *entral Governent.

    Sri Parshuram Institute of Technology & Research 7

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    VARIOUS DEPARTMENTSUNDER SEBI

     "#e Primar$ 5ar'et(

     "#e Issue 5anaement and Intermediaries

    Department( "#e Secondar$ 5ar'et(

    Institutional Investment Department 85Fand FII:* 5erers and !c7uisition(

    ;eal Department 8all leal matters:(

    Investiation Department 8carr$ outinspection and investiation:(

    Sri Parshuram Institute of Technology & Research

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    POWERS OF CENTRAL

    GOVERNMENT  "#e Central overnment #as power to issue directions to SEBI Board*

    supersede t#e Board* if necessar$ and to call for returns and reportsas and w#en necessar$(

     "#e Central overnment #as also power to ive an$ uideline8s: orto ma'e reulations and rules for SEBI and its operations(

     RELATION WITH THE CENTRAL

    GOVERNMENT 

     "#e activities of SEBI are

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    !55E,D5E,"S

      SEBI !ct* +??- was amended in t#e $ears 1995, 1999 and 2002to meet t#e re7uirements of c#anin needs of t#e securities mar'et(

    SEBI AMENDMENT BILL, 1995! 5ainl$ focussed on Forein Institutional Investors 8FII:(

    iven additional statutor$ powers(

    SEBI AMENDMENT BILL, 1999!

    Included der"#a$e% & "n%$ru&en$% '( )'lle)$"#e"n#e%$&en$ %)*e&e% under t#e de

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    SEBI AMENDMENT BILL, ++!

    ave more teet# to SEBI to punis# mar'et o=enderst#rou# Ser"'u% Fraud O-)e .SFO/0

    Power to searc# & seiAe boo's* reisters & documents ofintermediaries or an$ ot#er persons associated wit# t#esecurities mar'et(

    Fine of -2 crores for insider tradin(

    Board strent# increased from si9 to nine(

    Sri Parshuram Institute of Technology & Research ""

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    Uendra !umar Sinha.Pre%en$ SEBI C*a"r&an/

    Feruar2 +11!$"ll da$e

    Sri Parshuram Institute of Technology & Research "2

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    www"wi#iedia"or$www"sebi"$ov"in

    References

    http://www.wikipedia.org/http://www.sebi.gov.in/http://www.sebi.gov.in/http://www.wikipedia.org/

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