12th Oct 2020
9:45 am To 5:30 pm

Programme on Investigating Economic Crimes in Securities Markets

Event Information

From Monday, October 12, 2020 –  09:45am
To Wednesday, October 14, 2020 – 05:30pm

NISM

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)TopicResource Person
Day 1October 12, 2020 Monday
10:30 am to 10:45 amInaugural SessionMr. S K Mohanty, WTM, SEBI & Director, NISM
10:45 am to 11:15 amPresentation on NISMMr. Sahil Malik, General Manager, SEBI & NISM
11:15 am to 1:15 pmIntroduction to Indian Capital Markets – Regulatory framework, Products; Processes, Market Infrastructure Institutions (MIIs) and IntermediariesDr. V R Narasimhan, Dean, NISM- SRSS & SCG
1:15 pm to 2:00 pmLunch Break
2:00 pm to 3:45 pmPrimary Market Process – Public Issues      Mr. B Renganathan, EVP, Edelweiss Group
3:45 pm to 4:00 pmTea Break
4:00 pm to 5:45 pmPrimary Market Process – Regulatory Perspective: ICDR Regulations, Issue Processes including manipulations related to Primary MarketsMr. B Renganathan, EVP, Edelweiss Group
Day 2October 13, 2020 Tuesday
9:45 am to 11:45 amSecondary Markets: Equity Trading, Clearing & Settlement and Risk Management at ExchangeDr. Nitin Tike, General Manager, NISM
11:45 am to 12:00 pmTea Break
12:00 pm to 1:00 pmBasics of DerivativesMr. Hitesh Sethia, Consultant
1:00 pm to 2:00 pmLunch Break
2:00 pm to 3:30 pmPotential Manipulations in Derivative TradesMs. Nisha Subhash, AVP, National Stock Exchange (NSE)
3:30 pm to 3:45 pmTea Break
3:45 pm to 5:15 pmRegulatory Framework for Mutual Fund IndustryMr. Balakrishna Kini, Dy. Chief Executive, AMFI
Day 3October 14, 2020 Wednesday
9:45 am to 11:15 amRole and functions of SEBI and powers related to investigationMr. Suresh Gupta, Former CGM, SEBI
11:15 am to 11:30 amTea Break
11:30 am to 1:00 pmSurveillance of Securities Markets – Exchange PerspectiveMr. Bireshwar Chatterjee, VP- Surveillance & Investigation, National Stock Exchange (NSE)
1:00 pm to 2:00 pmLunch Break
2:00 pm to 3.30 pmInvestigations related to PFUTP violations and case lawsMr. Suresh Gupta, Former CGM, SEBI
3:30 pm to 3:45 pmTea Break 
3:45 pm to 5:15 pmInvestigations related to Insider Trading – Important provisions of SEBI (PIT) RegulationsMs. Shailashri Bhaskar, Consultant
5:15 pm to 5:30 pmValedictory addressMr. Sunil Kadam, Registrar, NISM

Programme Director:

Mr.M Krishnamoorthy,

Member of Faculty, NISM
Email: krishna.m@nism.ac.in