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Capital Market - Book Reference


Capital market
sl nounit 1:- introduction to capital marketpg no.
1introduction to capital market2
2constituents of capital market3
3history4
4action taken by the government related to market7
5statistical data and further developments9
6latest developments12
7demutualization16
8disinvestment16
9public issue16
10rights issue16




unit 2 :- securities and exchange board of India
1objectives of SEBI20
2role assigned to SEBI21
3functions of the board22
4SEBI guidelines for the issue of debt instrument23
5debenture redemption reserve-DPR24
6SEBI guidelines for primary market25
7SEBI guidelines for bonus issue27
8Green-shoe-option-GSO in an IPO28
9how does GSO work28
10issuers 28
11investors point of view29
12lead bankers point of view29
13case study of ICICI banks second public issue29
14SEBI and individual investor31
15actions taken by SEBI31
16achievement of SEBI31
17what SEBI does with is powers32
18scorecard of action taken by SEBI33
19insider trading regulations of SEBI34
20guidelines to investors35
21participatory notes p-notes37
22MS shoes38
23ketan Parekh scam39
24Tata finance41
25L& T, Reliance, Grasim43
26Badla45
27insider trading 45
28Debenture45




unit 3:-money market
1call-money market48
2participants in money market49
3discount and finance house of India ltd- DHFI49
4primary dealers49
5money market instruments50
614-day intermediate T-Bills50
7instruments in money market51
8commercial paper market51
9certificate of deposit51
10RBI guidelines52
11commercial bill market52
12new bill market scheme 197053
13money market mutual fund53
14repos and reverse repos53
15securities trading corporation of India-STCI54
16market stabilization bonds54
17repo or repurchase pact54
18who are the players suitable to do a repo55
19need for repo transaction 55
20interest on repo calculation 55
21period for which repo calculated55
22Why RBI holds Repo56
23options in FOREX market56
24options 56
25types of options57
26futures57
27option terminology58
28call option58
29put option58
30strike price58
31exercise price58
32maturity date58
33American option58
34European option59
35premium- option price, option value59
36intrinsic value of option 59
37time value of option 59
38at-the-money, in-the-money, out-of-the-money options59
39option pricing59
40black and Scholes59
41relation between option premium and stock price60
42option strategies61
43call options61
44put option63
45spread strategies64
46vertical spread strategies64
47horizontal or time spreads65
48straddles and strangies66




unit 4:- mutual funds
1mutual fund conceptual framework70
2regulators of mutual fund71
3role of regulators71
4SEBI71
5RBI71
6ministry of finance- MOF72
7office of public trustee72
8self-regulatory organizations- sRO72
9who can invest73
10non-residents including73
11investors right and obligations73
12portfolio diversification74
13professional management74
14reduction or diversification of risk74
15reduction of transaction cost74
16liquidity75
17convenience and flexibility75
18technical jargons used77
19portfolio 77
20asset management company-AMC78
21net asset value-NAV78
22calculation of NAV78
23Load79
24asset management company-AMC80
25constitution of AMC81
26types of schemes offered by the mutual fund82
27open ended and close-ended schemes82
28pure growth schemes82
29pure income schemes83
30balanced schemes83
31tax saving schemes83
32debt-oriented schemes83
33equity-oriented schemes83
34sector funds84
35money market mutual funds84
36tax treatment of mutual funds84
37regulatory aspects86
38rules regarding advertisement87
39investment objectives and valuation policies87
40general obligation 87
41procedure for action in case of default87
42restriction on investment87
43the case of US-6489
44ELSS91




unit 5:-merchant banking
1introduction 94
2activities of merchant banking95
3issue management96
4corporate advisory services relating to the issue97
5underwriting99
6guidelines for IPOs100
7public issue100
8eligibility norms for listed company for making public issue101
9restriction on pricing by the companies101
10promoters contribution and lock-in101
11basis of allotment102
12get the application forms and the prospectus102
13comments. Complaints on the issuer company or others connected with the issue103
14complain wrong/ non-disclosures/ mis-statement in the offer document103
15how many days and investor should receive the refund order/allotment advice103
16how many days should the company get its securities listed after the issue103
17is it mandatory to have demat account for applying for public issue103
18address of the company and details of change of names104
19what is book building104
20offer of shares through book building and offer of shares through normal public issue104
21minimum number of days for which bid should remain open in book building104
22can open outcry system be used for book building104
23issue price for placement portion and net offer to public105
24floor price105
25bidder revise his bids105
26proof 105
27bid less than floor price105
28corporate services105
29project counseling106
30loan syndication 106
31merchant bankers need to possess the following qualities106
32SEBI guidelines for merchant bankers106
33categories of merchant bankers107




unit 6:-recent development
1rolling settlement112
2advantages112
3derivatives in stock market113
4index futures113
5hedge using the instrument113
6futures contract114
7options114
8call or put options115
9depository and dematerialization 116
10NSDL-national securities depository limited117
11depository facilities offered by NSDL118
12non-voting shares-NVS118
13bonus debentures of HLL119
14E-trading122
15stock lending mechanism123
16NSCCL-national securities clearing corporation limited123
17employees stock option plan-ESOP124
18SEBI guidelines125
19SWEAT equity126




unit 7:-stock exchanges
1securities contract regulation act130
2introduction to stock exchanges131
3importance and operations of depositories134
4bank depository134
5depositories registered with SEBI134
6depository participant134
7minimum net worth for a depository134
8Depository participants registered with SEBI135
9benefits of availing depository services135
10account opening135
11services of depository availed135
12address of investor change136
13multiple account opening136
14minimum balance of securities in my accounts136
15account with same DP as a broker has136
16freeze or lock accounts137
17dematerialization process and operation 138
18physical holding to electronic holding138
19ISIN-international securities identification number138
20odd lot shares be dematerialized138
21can transfer cum dematerialization be done simultaneously139
22electronic holdings be converted back into physical certificate139
23trading/settlement139
24selling dematerialized shares139
25corporate benefits141
26securities allotted in public offering directly in the electronic form 141
27cash corporate benefit such as dividend/interest received141
28receive non cash corporate benefit such as bonus etc141
29pledging141
30pledge dematerialized securities141
31pledge electronic securities141
32close pledge after repayment of loan142
33change securities offered in pledge142
34transaction statement142
35frequency one receive transaction statement142
36discrepancies in transaction statement143
37contact in case of complaint/problem/query143
38custodian143
39role of custodian 143
40introduction to national stock exchange144
41wholesale debt market145
42stock market indices146
43stock holding corporation of India Ltd-SHCIL147
44objectives148
45advantages148




unit 8:-venture capital
1characteristics152
2stages of venture capital financing153
3seed financing153
4start-up financing153
5first stage financing153
6expansion financing153
7second stage financing153
8third stage or mezzanine financing153
9bridge financing153
10acquisition financing-buyout153
11venture investment process154
12generating a dead flow154
13due diligence154
14investment valuation 154
15structuring the deal154
16entrepreneur seeks156
17common consideration 156
18SEBI venture capital funds regulation 156
19problems with VCS in the Indian contract158
20license raj and the IPO boom 158
21scalability159
22mindsets159
23returns, taxes and regulation s159
24exit159
25valuation 160
26angels160
27Vinod Dham161
28Sailesh Mehta161
29Kanwal Rekhi161
30Prabhu Goel Suhas Patil162
31Prakash agaaaarwal 162
32K.B.Chadrashekhar162
33corporate venturing168
34success of venture capital 168
35current trends170
36capital is pouring into private equity funds170
37bigger is better170
38first item firms never had it so good170
39state want its share of the pie too170
40venture firms are being run more ice business170
41no more men in grey suits171
42tomorrow is coming faster171
43more venture funds are seeking tradition al business171
44financing sources are more flexible171
45financing sources and companies are building partnering relationships171
46competition affecting buyer prices171




unit 9:-credit rating
1investors176
2issuers176
3financial intermediaries176
4regulatory authority177
5credit rating177
6factors contributed to the growth of credit rating178
7rating an instrument178
8business analysis179
9market position of the company179
10operating advantages of the company180
11financial risk analysis180
12project risk 181
13management evaluation 181
14legal position 181
15financial analysis181
16management evaluation 182
17regulatory and competitive environment182
18flow chart of rating process183
19type of instrument rated183
20crisil's long term rating symbols184
21AAA, AA A BBB BB B C D184
22recent developments184




unit 10:-share buy-back
1obligations of the company192
2methods of buy-back192
3effects of buy-back192
4types of share buy-back193
5open market purchases193
6tender offer193
7Dutch auction 193
8India's experience with buy-back194
9objectives of buy-back195
10relevant laws196
11companies act 1956196
12SEBI regulations 1998198
13special provisions of tender offer route of buy-back of odd lot of shares200
14provisions of open market operations through stock exchanges201
15provisions of open market operations through book building201




unit 11:-portfolio management and financial engineering
1functions and advantages208
2types of portfolio management209
3discretionary portfolio management-DPMS209
4non-discretionary portfolio management209
5qualities of portfolio manger209
6steps in portfolio management210
7criteria for portfolio decision and factors that influence portfolio decisions210
8investors characteristic210
9liquidity needs210
10tax consideration211
11safety of principal211
12assurance of income211
13investment risk211
14interest rate risk211
15business and market risk211
16SEBI regulations governing portfolio management activities212
17code of conduct -portfolio manager/FF-TNR213
18finance engineering213
19factors responsible for the growth of F.E214
20tools of financial engineering215
21conceptual tools215
22physical tools215
23categories of financial engineers215
24the first are deal makers215
25second category- idea generators216
26innovators216
27loophole exploiter216
28outlaws216
29products developed by financial engineers217
30tax asymmetries219




unit 12:-corporate governance
1background for formation of Birla committee224
2board of directors224
3responsibilities225
4composition 225
5audit committee225
6functions of management225
7shareholders226
8reasons for failure226
9mandatory recommendations of Birla committee227
10board of directors227
11audit committee227
12power of audit committee227
13frequency of meetings and quorum227
14remuneration227
15committee membership of directors228
16shareholders committee228
17some recent developments229
18cause 49 of the listing agreement230
19ambani vs. ambani233




unit 13:-mergers and take over's
1procedure241
2meant by takeovers and substantial acquisition of shares241
3target company241
4acquirer242
5persons acting in concert-PAC242
6quantity of shares or voting rights242
7threshold of disclosure to be made by acquirer242
8trigger point for making an open offer by an acquire243
915% shares or voting right243
10creeping acquisition limit243
11consolidation of holding243
12control defined244
13public announcement-PA244
14disclosures required to be made under public announcement244
15objectives of public announcement244
16offer of less than 20% shares244
17who is required to make a public announcement and when245
18appointment of merchant banker245
19document filed with SEBI245
20SEBI approve the draft letter of offer245
21letter of offer246
22SEBI gives comments on draft letter of offer246
23price determined in an open offer247
24relevant parameters247
25shares of target company frequently or infrequently traded247
26competitive bid248
27acquirer withdraw the offer248
28not received letter of offer248
29compensation for delayed receipt of payment249
30acquirer required to accept all the shares under the open offer249
31safeguards in take over process249
32SEBI regulations 1997250
33reporting to SEBI mandatory250
34time frame to submit report and procedure fee250
35information required to be furnished to stock exchanges251
36violate provisions of the regulations251
37mergers and amalgamation covered under the SEBI253
38take over panel253
39procedure for making an application to takeover panel254
40SEBI process254
41specific provisions for disinvestment of government shareholding in public sector undertaking-PSU254
42said amendments254
43hostile take over254
44Bombay deing255
45Gesco corporation 256
46white knight256




unit 14:- lease and hire purchase
1lease finance262
2advantages262
3sources of funds of finance companies264
4contents of lease agreement265
5description clause265
6period clause265
7rental clause265
8exemption clause265
9ownership clause265
10repairs and alteration clause265
11surrender clause265
12sale and lease back transaction 266
13hire purchase267
14salient features267
15sale tax aspects268
16accounting aspects268
17summary regulations governing NBFCS issued by RBI269
18latest developments269




unit 15:-housing finance
1national housing bank274
2objectives-NHB275
3norms of approval of HFC's by NHB275
4refinance facility offered by NHB276
5limits of refinance276
6regulatory guidelines of NHB276
7procedure for disbursement of loan by HFCS277
8credit appraisal277
9documents required278
10salaried class278
11self employed278
12legal appraisal 279
13technical appraisal279
14securitization and housing finance279
15process of securitization 280
16pass through certificates- PTC280
17features281
18pay through certificates281
19demerits of securitization of the originator281
20process of securitization of receivables281
21credit enhancement282
22mortgage backed securitization282
23benefits of securitization 283
24new developments in housing loans283
25flexible loan installment plan283
26step-up repayment facility283
27balloon payment284
28acceleration of EMI's284

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