Programme on Investigating Economic Crimes in Securities Markets
Event Information
From Monday, October 12, 2020 – 09:45am
To Wednesday, October 14, 2020 – 05:30pm
Programme Overview
Market Surveillance and Investigation are two integral function of any Financial Market Regulator. In order to protect the interest of Investors and maintain the integrity of Securities Market, Regulator is expected to be on constant vigil. Investigation and Surveillance activities are undertaken to examine alleged or suspected violations and to gather evidence and identify persons/entities behind irregularities and violations. The participants who attend the programme are benefitted with the learning in understanding and interpreting various issues related to Surveillance and Investigation which ultimately result in better enforcement.
Programme Schedule:
| Session (Hrs) | Topic | Resource Person |
| Day 1 | October 12, 2020 Monday | |
| 10:30 am to 10:45 am | Inaugural Session | Mr. S K Mohanty, WTM, SEBI & Director, NISM |
| 10:45 am to 11:15 am | Presentation on NISM | Mr. Sahil Malik, General Manager, SEBI & NISM |
| 11:15 am to 1:15 pm | Introduction to Indian Capital Markets – Regulatory framework, Products; Processes, Market Infrastructure Institutions (MIIs) and Intermediaries | Dr. V R Narasimhan, Dean, NISM- SRSS & SCG |
| 1:15 pm to 2:00 pm | Lunch Break | |
| 2:00 pm to 3:45 pm | Primary Market Process – Public Issues | Mr. B Renganathan, EVP, Edelweiss Group |
| 3:45 pm to 4:00 pm | Tea Break | |
| 4:00 pm to 5:45 pm | Primary Market Process – Regulatory Perspective: ICDR Regulations, Issue Processes including manipulations related to Primary Markets | Mr. B Renganathan, EVP, Edelweiss Group |
| Day 2 | October 13, 2020 Tuesday | |
| 9:45 am to 11:45 am | Secondary Markets: Equity Trading, Clearing & Settlement and Risk Management at Exchange | Dr. Nitin Tike, General Manager, NISM |
| 11:45 am to 12:00 pm | Tea Break | |
| 12:00 pm to 1:00 pm | Basics of Derivatives | Mr. Hitesh Sethia, Consultant |
| 1:00 pm to 2:00 pm | Lunch Break | |
| 2:00 pm to 3:30 pm | Potential Manipulations in Derivative Trades | Ms. Nisha Subhash, AVP, National Stock Exchange (NSE) |
| 3:30 pm to 3:45 pm | Tea Break | |
| 3:45 pm to 5:15 pm | Regulatory Framework for Mutual Fund Industry | Mr. Balakrishna Kini, Dy. Chief Executive, AMFI |
| Day 3 | October 14, 2020 Wednesday | |
| 9:45 am to 11:15 am | Role and functions of SEBI and powers related to investigation | Mr. Suresh Gupta, Former CGM, SEBI |
| 11:15 am to 11:30 am | Tea Break | |
| 11:30 am to 1:00 pm | Surveillance of Securities Markets – Exchange Perspective | Mr. Bireshwar Chatterjee, VP- Surveillance & Investigation, National Stock Exchange (NSE) |
| 1:00 pm to 2:00 pm | Lunch Break | |
| 2:00 pm to 3.30 pm | Investigations related to PFUTP violations and case laws | Mr. Suresh Gupta, Former CGM, SEBI |
| 3:30 pm to 3:45 pm | Tea Break | |
| 3:45 pm to 5:15 pm | Investigations related to Insider Trading – Important provisions of SEBI (PIT) Regulations | Ms. Shailashri Bhaskar, Consultant |
| 5:15 pm to 5:30 pm | Valedictory address | Mr. Sunil Kadam, Registrar, NISM |
Programme Director:
Mr.M Krishnamoorthy,
Member of Faculty, NISM
Email: krishna.m@nism.ac.in
