3. o Growth of the economy.
o Characterized by growing investor participation and
confidence.
o Investor participation itself is influenced by the level of
protection that is guaranteed to an investor against
irregularities.

4.  Retail category up to 35%
 Entitled to privileges
 Level of participation is still less
Uncertainty in terms of allotment, price
on listing and rate of return
Disclosure of information

5. 1. Past market trends
2. Risk appetite
3. Rate of return
4. Inflation
5. Liquidity
6. Taxation benefit
7. Frequency of return
8. Duration of investment
9. Investible surplus
10. Investment needs

6. • Crimes committed by intelligent but dubious
individuals
• Individuals can be both public or government
• Economic offences seriously affect national
economy.

7.  Primary Market Frauds
 Secondary Market Frauds
 Bank and NBFCs Frauds
 Insurance Frauds
 Import / Export Frauds
 Violating Intellectual Property Laws
 Fake Currency
 Cyber Crimes
 Smuggling of antiques, arts and treasures
 Fake Stamps Scam
 Adulteration in foodstuffs and drugs
 Wildlife and environmental crimes
 Fraudulent use of weights and measures
 Making and selling of fake goods

8.  Known as stock market launch.
 Shares of stock in a company sold to the general
public for the first time.
 Raising of capital for expansion.
 To become publicly traded enterprises.
 Risky investment.

9. PLANNING FOR IPO PROCESS:
Planning for the IPO Process
Choosing Underwriters
Filing a Prospectus
IPO Promotion
Final Offering Price and Amount
Selling on the Stock Market

11. ADVANTAGES:
Enlarging and diversifying equity base
Enabling cheaper access to capital
Increasing exposure, prestige, and public image
Attracting and retaining better management and employees through
liquid equity participation
Facilitating acquisitions (potentially in return for shares of stock)
Creating multiple financing opportunities: equity, convertible debt,
cheaper bank loans,

12. Disadvantages of an IPO
There are several disadvantages to completing an initial public offering:
Significant legal, accounting and marketing costs, many of which are
ongoing
Requirement to disclose financial and business information
Meaningful time, effort and attention required of senior management
Risk that required funding will not be raised
Public dissemination of information which may be useful to competitors,
suppliers and customers.
Loss of control and stronger agency problems due to new shareholders

13. 1. Failed to file returns with Registrar of Companies (ROC) for a
period of 2years;
2. Failed to file returns with Stock Exchange (SE) for a period of 2
years (if it continues to be a listed company)
3. . It is not maintaining its registered office at the address notified
with the ROC /SE; and
4. None of its Directors are traceable.
5. Ministry of Corporate Affairs has clarified that all the
conditions mentioned above would have to be satisfied before a
listed company is declared as a vanishing company.
6. Further, the conditions mentioned at (1), (3) & (4) would
suffice to declare accompany as vanishing if such company has
been de-listed from the SE.

14. THANK YOU