Capital market intermediaries and their regulation in india pdf

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capital market intermediaries and their regulation in india pdf

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India-focused Investment Funds: March, 2020 Onward

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It is functioning under administrative control of Ministry of Finance. This ever expending investor population and market capitalization led to variety of malpractices on the part of companies, brokers merchant brokers, investment consultants involved in Securities Market. Such malpractices and unfair practices have eroded investor confidence and multiplied investor grievances. The example of malpractices include existence of self-styled merchant bankers, unofficial private placement, rigging of prices unofficial premium in new issues, non-adherence of provisions of the companies act, violation of rules and regulation of stock exchange listing requirements, delay in delivering shares etc. Market intermediaries play a very important role in development of the market by providing a variety of services. Market intermediaries can be classified on the basis of the services provided by them.

A capital market is a financial market in which long-term debt over a year or equity -backed securities are bought and sold. Securities and Exchange Commission SEC oversee capital markets to protect investors against fraud, among other duties. Modern capital markets are almost invariably hosted on computer-based electronic trading platforms ; most can be accessed only by entities within the financial sector or the treasury departments of governments and corporations, but some can be accessed directly by the public. As an example, in the United States, any American citizen with an internet connection can create an account with TreasuryDirect and use it to buy bonds in the primary market, though sales to individuals form only a tiny fraction of the total volume of bonds sold. Various private companies provide browser-based platforms that allow individuals to buy shares and sometimes even bonds in the secondary markets. There are many thousands of such systems, most serving only small parts of the overall capital markets.

The Role of Securities and Exchange Board of India in Regulating the Primary Market for Securities

While some trade dealings may involve only a single intermediary entity, more complex transactions comprise networks and chains of intermediaries at different levels. These market dynamics are further complicated by proprietary dealings by such intermediaries, where the thin line of distinction between investors and intermediaries as separate market players gets diluted. In the face of such market complexities, market intermediaries often tend to put themselves in conflict of interests situations. Given the sensitive market scenario, it is imperative to keep a vigil on the growth of intermediaries, especially the new categories of intermediaries who may or may not be covered by the existing regulatory framework, particularly in the context of the new, innovative, and hybrid products that are frequently launched. Thus, it is essential to revisit the significance of fair play by intermediaries in the context of their multifaceted operations, the issues related to conflict of interests, and contemporary challenges from a practical standpoint. Financial intermediaries and financial markets can in many cases act as substitute sources of financial services.

development of Stock market in india; Stock market & its operations, trading Securities Market intermediaries: Primary Market and Secondary Market A PDF document (up to 1MB of size for each nature of complaint) can also be.


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