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NISM has conducted 5 days programme for Revenue officers on ‘Programme on ‘Investigating Economic Crimes in Securities Markets’ for Revenue Officers during May 13-17, 2019 at NISM Campus, Patalganga. The programme was inaugurated by Mr. S. K. Mohanty, WTM, SEBI. Dr. M. Thenmozhi, Director, NISM delivered the welcome address and updated about the activities of NISM. The overview of training programme was given by Mr. Jitendra Kumar, Member of Faculty & Programme Director, NISM. A total of 30 Participants have attended the programme.
The programme was aimed 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.
The programme was a blend of classroom & Hands on sessions. The following areas/topics were covered in detail during the 5-days:
| # | Session | Speakers |
| 1 | Introduction to Indian Capital Markets – Regulatory framework, Products; Processes, Market Infrastructure Institutions (MIIs) and Intermediaries | Dr. V. R. Narasimhan, Dean – SRSS & SCG, NISM |
| 2 | Presentation on NISM | Mr. Jitendra Kumar, Member of Faculty, NISM |
| 3 | Primary Market Process – I.P.O Processes | Mr. Abhijit Vaidhya, ED, Kotak Securities |
| 4 | Primary Market Process – Regulators Perspective: ICDR Regulations, Issue Processes including manipulations related to Primary Markets | Mrs. Aradhana Verma, DGM, SEBI |
| 5 | Secondary Markets: Equity Trading, Clearing & Settlement and Risk Management at Exchange | Mr. Nitin Tike, SVP, BSE |
| 6 | Basics of Derivatives & Potential Manipulations | Mr. Hitesh Sethia, Consultant & Trainer |
| 7 | Fund Management: Mutual Fund & PMS (including discussion on potential manipulations) | Ms. Harini Balaji, CGM, SEBI |
| 8 | Role and functions of SEBI and powers related to investigation | Mr. Jitendra Kumar, Member of Faculty, NISM |
| 9 | Surveillance of Securities Markets – Exchange Perspective | Mr. Rajesh Saraf, Chief General Manager, BSE |
| 10 | Investigations related to PFUTP violations and case laws | Mr. Suresh Gupta, Former CGM, SEBI |
| 11 | Case Laws | Mr. Suresh Gupta, Former CGM, SEBI |
| 12 | Trading in Simulated Environment at NISM Finance Lab | Dr. Latha Chari & Team, NISM |
| 13 | Session on Use of Technology and Models for Surveillance of Equity Trading | Visit to NSE |
| 14 | Investigations related to Insider Trading – Important provisions of SEBI (PIT) Regulations | Ms. Shailashri Bhaskar, Consultant |
| 15 | Discussion on Case Laws | Ms. Shailashri Bhaskar, Consultant |
| 16 | Enforcement at SEBI including Enquiry and Adjudication | Mr. Jeevan Sonaparote, CGM, SEBI |
| 17 | Financial Planning | Mr. Jitendra Kumar, Member of Faculty, NISM |
We have also organised a musical evening during the programme.
The valedictory was done by Dr. M. Thenmozhi, Director, NISM. All the participants were awarded Certificate of Participation.
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