Legal Aspects Of Finance & Security Laws

Unit No.

Unit Title

Contents

1

Introduction to Legal Aspects of Finance

1.1 Overview of Indian Financial System,

1.2 Introduction to Legal Aspect: - Finance, Securities market.

1.3 Basics of Insurance, Derivatives, Commercial Banking, Capital Markets, Money Market, Forward Market Commission of India (FMC), Pension Fund Regulatory and Development Authority (PFRDA).

2

The Issue, Listing of Securities & Investor Protection

2.1 Listing of Securities,

2.2 Issue of Capital and Disclosure Requirements (ICDR),

2.3 Procedure for Issue of Various Types of Shares and Debentures,

2.4 Employee Stock Option Scheme and Employee Stock Purchase Scheme,

2.5 Delisting of Securities.

3

Companies Act 2013 & Investor Protection

3.1 Introduction to the Companies Act, 2013.

3.2 Overviews of Companies Act, 2013.

3.3 Legal Documents- Memorandum of Associations (MOA), Articles of Associations (AOA).

3.4 Importance of Preparation of Financial Statements & its Disclosure.

3.5 Investor Education and Protection Fund (IEPF) under SEBI Regulations and Companies Act, 2013.

4

Goods & Service Act 2017

4.1 Introduction to GST,

4.2 Types of GST, Overview of CGST, SGST, IGST& UTGST Act, 2017.

4.3 Eligibility to Register under GST, Benefits of GST Registration.

4.4 Procedure of GST Registration,

4.5 Introduction to GST Network, Functions of GSTN.