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Programme on Investigating Economic Crimes in Securities Markets For Revenue Officers

July 09-13, 2018 | NISM Campus, Patalganga

 

 

A Programme on ‘Investigating Economic Crimes in Securities Markets’ for Revenue Officers was held during July 09-13, 2018 at NISM Campus, Patalganga.

 

The purpose of the programme was to make the participants aware about various types of securities market manipulation/ frauds, detailed processes’ of Investigations, Enforcement at SEBI, case laws related to investigation matters, etc.

 

Mr. Jitendra Kumar, Member of Faculty, NISM was the Programme Director.

 

The programme was inaugurated by Mr. G. Mahalingam, WTM, SEBI and Dr. M. Thenmozhi, Director, NISM.

 

The following areas/topics were covered:

 

Sr.no.

Session

Speakers

1

Challenges of Monitoring Indian Securities Markets or Investigations at SEBI

Mr. G. Mahalingam, WTM, SEBI

2

Presentation on NISM

Mr. Jitendra Kumar, Member of Faculty, NISM

3

Powers and Functions of SEBI including provisions related to Investigation

Mr. Jitendra Kumar, Member of Faculty, NISM

4

• Primary Market

• IPO related Manipulation and Investigation

Mr. Narendra Rawat, DGM, SEBI

5

Understanding Secondary Markets

Mr. Nitin Tike, SVP, NISM

6

Surveillance of Equity and Commodities Derivatives Market

Mr. Vishal Padole, AGM, SEBI

7

Sessions on IMSS & DWBIS

Mr. Vishal Padole, AGM, SEBI

8

Investigation at SEBI

Mr. Jitendra Kumar, Member of Faculty, NISM / Programme Director

9

• CIS and Deemed Public Issue

• Case Study of Sahara

Mr. Vishal Shukla, Member of Faculty, NISM

10

• Understanding IDR and GDR

• Investigating frauds related to GDR

Mr. Sunku Venugopal, Member of Faculty, NISM

11

Behavioral Finance

Mr. Jitendra Kumar, Member of Faculty, NISM / Programme Director

12

Enforcement Process in SEBI including Prosecution & Recovery I & II

Mr. D.V. Sekhar, GM, SEBI

13

Hands-on exposure in trading in simulated environment at NISM Finance lab

Prof. Latha Chari, Chair Professor, NISM

14

• Visit to BSE:

• Session on ‘Surveillance & Investigation –     Exchange Perspective’

• Addressed by Mr Ashish Chauhan, MD &       CEO,  BSE

• Mr. Rajesh Saraf, CGM, BSE

15

• Enquiries and Adjudication at SEBI

• Discussion on Relevant Case Laws

 

Mr. Sahil Malik, DGM, SEBI

16

Supervision of Intermediaries

Mr. G. Ram Mohan Rao, GM, SEBI

17

Investigation related to Insider Trading – Tools and Techniques used

Mr. V. S. Sundaresan, CGM, SEBI

18

• Important Case Laws

• Closing Remarks on Investigation

Mr. V. S. Sundaresan, CGM, SEBI

 

We have also organised a musical programme and a movie (Inside Job) show in the evening.

 

The valedictory was done by Dr. M. Thenmozhi, Director, NISM. Mr. V. S. Sundaresan, CGM, SEBI was also present during the valedictory session. All the participants were given Certificate of Participation.

 

Click here for event pictures

 

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