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FINANCIAL REGULATION Word File

The document discusses the Securities and Exchange Board of India (SEBI), which is the primary regulator of the Indian securities market, established in 1988 and granted statutory powers in 1992. SEBI's main objectives include protecting investor interests, ensuring market integrity, and regulating market participants. It has various powers such as registration, monitoring, enforcement actions, and oversight of stock exchanges and mutual funds.

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10 views16 pages

FINANCIAL REGULATION Word File

The document discusses the Securities and Exchange Board of India (SEBI), which is the primary regulator of the Indian securities market, established in 1988 and granted statutory powers in 1992. SEBI's main objectives include protecting investor interests, ensuring market integrity, and regulating market participants. It has various powers such as registration, monitoring, enforcement actions, and oversight of stock exchanges and mutual funds.

Uploaded by

bhushannichite
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© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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VIGNAHARTA TRUST

SHIVAJIRAO S. JONDHLE COLLEGE OF


ENGINEERING & TECHNOLOGY,
ASANGAON
UNIVERSITY OF MUMBAI

Subject: FINANCIAL REGULATION

“POWER AND FUNCTIONS OF SEBI”


MASTER OF MANAGEMENT STUDIES
SEMESTER – III
2023-24
SUBMITTED BY: BHUSHAN PUNDLIK NICHITE
ROLL NO: SSJCET23019
SUBMITTED TO: PROF. NILAM MADAR

1
INDEX

CHAPTER NO PARTICULARS PAGE NO

1 Introduction 01

2 History and Establishment 02 - 10


of SEBI

3 Conclusion 11

4 Bibliography 12

2
Introduction

The Securities and Exchange Board of India (SEBI) is the principal


regulator of securities markets in India. Established in 1988 and
granted statutory powers through the SEBI Act of 1992, SEBI's
primary goal is to protect the interests of investors, ensure the smooth
functioning of the securities market, and regulate its participants
effectively.

The need for SEBI arose due to increasing malpractices in the


securities market, such as insider trading, non-disclosure of material
information, and fraudulent practices. SEBI serves as a watchdog,
fostering transparency and efficiency while maintaining market
integrity.

3
Introduction to SEBI

Statutory Body
SEBI is a statutory body established in 1992 to protect the interests of
investors in the securities market.

Regulatory Oversight
It oversees and regulates the Indian securities market, including stock
exchanges, mutual funds, and various intermediaries.

Autonomous Authority
SEBI functions as an autonomous body and is not subject to the
control of any other authority.

4
History and Establishment of SEBI

1988
SEBI was first established as a non-statutory body to regulate the
securities market.

1992
SEBI was given statutory powers through the SEBI Act, making it the
primary regulator of the Indian securities market.

1995
SEBI was granted additional powers to regulate mutual funds, foreign
institutional investors, and other market intermediaries.

5
Objectives of SEBI

Investor Protection
SEBI aims to protect the interests of investors in the securities market
by ensuring fair practices and transparency.

Market Development
It works to promote the orderly growth and development of the
securities market in India.

Regulation and Supervision


SEBI is responsible for regulating and supervising the activities of
various market participants, including stock exchanges, brokers, and
investment advisors.

6
Regulatory Powers of SEBI

Registration and Licensing


SEBI has the power to register and regulate various market
intermediaries, such as stock brokers, investment advisors, and mutual
funds.

Monitoring and Oversight


SEBI closely monitors the securities market and can take necessary
actions to prevent unfair practices or market manipulation.

Rule-Making Authority
SEBI has the authority to frame rules and regulations to govern the
securities market and protect investor interests.

Enforcement Actions
SEBI can initiate enforcement actions, such as imposing fines or bans,
against entities that violate securities laws.

7
Enforcement Actions by SEBI

Market Manipulation
SEBI can take action against individuals or entities involved in
market manipulation, insider trading, or other fraudulent activities.

Non-compliance
SEBI can penalize market participants for non-compliance with its
regulations or for providing false or misleading information.

Investor Protection
SEBI can take enforcement actions to safeguard the interests of
investors and maintain the integrity of the securities market.

8
Key Functions of SEBI

Registration
SEBI is responsible for registering and regulating various market
intermediaries, such as stock brokers and investment advisors.

Surveillance
SEBI continuously monitors the securities market to detect and
prevent any unfair or fraudulent practices.

Investor Protection
SEBI focuses on protecting the interests of investors by ensuring
transparency and fair practices in the securities market.

Market Development
SEBI works to promote the orderly growth and development of the
Indian securities market.

9
Oversight and Supervision of Securities Market

Stock Exchanges
SEBI oversees and regulates the operations of stock exchanges,
ensuring fair and transparent trading practices

Mutual Funds
SEBI regulates and supervises the activities of mutual fund
companies, protecting the interests of investors.

Intermediaries
SEBI monitors and regulates various market intermediaries, such as
brokers, investment advisors, and depositories.

10
Conclusion and Key Takeaways

Comprehensive Regulatory Authority


SEBI is the primary regulator of the Indian securities market, with a
wide range of powers and responsibilities.

Investor Protection Focus


SEBI's primary objective is to protect the interests of investors and
promote the integrity of the securities market.

Continuous Evolution
SEBI has evolved over time, adapting its regulations and initiatives to
meet the changing needs of the securities market.

11
Bibliography

strategicmanagementinsight.com

www.wikipedia.com
www.gamma.com

12
13
14
15
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