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SEBI
 securities AND exchange board of India




Daiju Alex
MACFAST
ESTABLISHMENT

In 1988 the Securities and Exchange Board of India
was established by Government of India through an
executive resolution and was subsequently upgraded
as a fully autonomous body (a statutory body) in the
year 1992 with the passing of Securities and
Exchange Board of India Act (SEBI act) on 30th
January 1992.
Structure of SEBI

 The board shall consists of the following members:-
1. Chairman
2. Two members, one from amongst the officials of the Central
   Government dealing with finance and another from the
   administration of Companies Act of 1956.
3. One members from amongst the officials of the Reserve Bank
   of India.
4. Five other members of whom at least three shall be the whole-
   time members to be appointed by the Central Government.
MISSION OF SEBI
• Protecting the interests of investors in securities,

• Promoting the development of, and

• Regulating the securities market and for matters
  connected therewith or incidental thereto.

Focus being the greater investor protection, SEBI has
  become a vigilant watchdog.
Functions of SEBI

 The SEBI Act 1992 has entrusted SEBI with two
  functions. They are:

1. Regulatory functions
2. Developmental functions
Regulatory functions
• Regulation of stock exchanges and self regulatory
  organizations.
• Registration and regulation of stock brokers , sub-brokers
  ,       registrars      of      all      issues,      merchant
  bankers, underwriters, portfolio managers..etc
• Registration and regulation of the working of collective
  investment schemes including mutual funds.
• Prohibition of fraudulent and unfair trade practices relating to
  securities market.
• Prohibiting of insider trading.
• Regulating substantial acquisition of shares and takeovers of
  the company.
Developmental functions

• Promoting investors education.
• Training of intermediaries.
• Conducting research and publishing information
  useful to all market participants.
• Promoting of fair practices.
• Promotion of self regulatory organizations.
Powers of SEBI

• Power to call periodical returns from recognized
  stock exchanges .
• Power to compel listing of securities by public
  companies.
• Power to levy fees or other changes for carrying out
  the purposes of regulation.
• Power to grant approval to bye-laws of recognized
  stock exchanges.
• Power to control and regulate stock exchanges.
POWERS OF SEBI
• Power to call information or explanation from
  recognized stock exchanges or their members.
• Power to direct enquiries to be made in relation to
  affairs of stock exchanges or their members.
• Power to make or amend bye-laws of recognized
  stock exchanges.
• Power to grant registration to market intermediaries
• Power to declare applicability of section 17 of the
  Securities Contract (regulation) Act 1956 in any state
  or area to grant licenses to dealers
THANK YOU…….

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Sebi

  • 1. SEBI securities AND exchange board of India Daiju Alex MACFAST
  • 2. ESTABLISHMENT In 1988 the Securities and Exchange Board of India was established by Government of India through an executive resolution and was subsequently upgraded as a fully autonomous body (a statutory body) in the year 1992 with the passing of Securities and Exchange Board of India Act (SEBI act) on 30th January 1992.
  • 3. Structure of SEBI The board shall consists of the following members:- 1. Chairman 2. Two members, one from amongst the officials of the Central Government dealing with finance and another from the administration of Companies Act of 1956. 3. One members from amongst the officials of the Reserve Bank of India. 4. Five other members of whom at least three shall be the whole- time members to be appointed by the Central Government.
  • 4. MISSION OF SEBI • Protecting the interests of investors in securities, • Promoting the development of, and • Regulating the securities market and for matters connected therewith or incidental thereto. Focus being the greater investor protection, SEBI has become a vigilant watchdog.
  • 5. Functions of SEBI The SEBI Act 1992 has entrusted SEBI with two functions. They are: 1. Regulatory functions 2. Developmental functions
  • 6. Regulatory functions • Regulation of stock exchanges and self regulatory organizations. • Registration and regulation of stock brokers , sub-brokers , registrars of all issues, merchant bankers, underwriters, portfolio managers..etc • Registration and regulation of the working of collective investment schemes including mutual funds. • Prohibition of fraudulent and unfair trade practices relating to securities market. • Prohibiting of insider trading. • Regulating substantial acquisition of shares and takeovers of the company.
  • 7. Developmental functions • Promoting investors education. • Training of intermediaries. • Conducting research and publishing information useful to all market participants. • Promoting of fair practices. • Promotion of self regulatory organizations.
  • 8. Powers of SEBI • Power to call periodical returns from recognized stock exchanges . • Power to compel listing of securities by public companies. • Power to levy fees or other changes for carrying out the purposes of regulation. • Power to grant approval to bye-laws of recognized stock exchanges. • Power to control and regulate stock exchanges.
  • 9. POWERS OF SEBI • Power to call information or explanation from recognized stock exchanges or their members. • Power to direct enquiries to be made in relation to affairs of stock exchanges or their members. • Power to make or amend bye-laws of recognized stock exchanges. • Power to grant registration to market intermediaries • Power to declare applicability of section 17 of the Securities Contract (regulation) Act 1956 in any state or area to grant licenses to dealers