Programme on "Investigating Economic Crimes in Securities Markets" for Revenue Officers from 09 -13 July 2018 at NISM Campus Patalganga - National Institute of Securities Markets (NISM)

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.

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