Programme on ‘Investigating Economic Crimes in Securities Markets’ for Revenue Officers May 13-17, 2019 | NISM Campus, Patalganga

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.