CS Executive Capital Market & Securities Laws study plan
CS Executive Capital Market & Securities Laws · Give each week a clear focus.
8 weeks · About 6 hours per week
Capital Markets: Structure, Participants and Instruments & Market Intermediaries and Regulatory Registration
Map the Indian capital market structure: distinguish primary and secondary markets, and list the roles of SEBI, stock exchanges, depositories, and clearing corporations.
Classify financial instruments (equity, debt, derivatives, hybrids) and identify the regulatory framework governing each.
Outline the registration requirements and core obligations for at least five key intermediaries: stock brokers, merchant bankers, registrar and transfer agents, depository participants, and portfolio managers.
Explain the difference between registration and regulation for intermediaries under SEBI regulations.
Your checkpoint
Create a one-page comparison table of market participants and their regulators, plus a 10-question self-test on intermediary registration with 80% accuracy.
Primary Markets: IPOs, FPOs, Rights Issues and Disclosure & Securities Contracts (Regulation) Act, 1956
Describe the IPO process from appointment of merchant banker to listing, including the role of the DRHP, RHP, and prospectus.
Compare the disclosure requirements for IPOs, FPOs, and rights issues under SEBI ICDR Regulations.
Summarise the key provisions of the Securities Contracts (Regulation) Act, 1956: recognition of stock exchanges, contracts in securities, and powers of the Central Government.
Analyse the conditions for valid trading of securities and the consequences of illegal contracts under SCRA.
Your checkpoint
Draft a 500-word note on the IPO lifecycle and a 10-question quiz on SCRA provisions, scoring at least 7/10.
Secondary Markets: Exchanges, Trading, Clearing and Settlement & Depositories Act, 1996 and Dematerialisation
Explain the trading mechanism on stock exchanges: order types, matching, and the role of clearing corporations.
Describe the T+1 settlement cycle and the clearing and settlement process, including risk management (margins, settlement guarantee fund).
Outline the Depositories Act, 1996: rights and obligations of depositories, participants, and issuers.
Explain dematerialisation and rematerialisation procedures, and the concept of beneficial ownership.
Your checkpoint
Create a flowchart of the trade lifecycle from order placement to settlement, and a 10-question quiz on depositories and demat, scoring at least 8/10.
SEBI Act, 1992: Powers, Functions and Enforcement & Investor Protection, Grievance Redressal and Insider Trading
Summarise the powers and functions of SEBI under the SEBI Act, 1992, including investigation, adjudication, and appeal mechanisms.
Explain the SEBI (Prohibition of Insider Trading) Regulations, 2015: definitions of insider, unpublished price sensitive information (UPSI), and trading restrictions.
Describe the investor protection measures: SEBI complaints redressal system (SCORES), investor education, and the role of the Investor Protection Fund.
Analyse the penalties and enforcement actions SEBI can take for violations.
Your checkpoint
Write a 600-word case note on a SEBI enforcement action (real or hypothetical) and a 10-question quiz on SEBI Act and insider trading, scoring at least 8/10.
Takeovers, Buy-backs and Corporate Restructuring & Mutual Funds, Collective Investment Schemes and AIFs
Outline the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011: triggers for open offer, exemptions, and procedural steps.
Explain the buy-back of securities regulations: methods, limits, and disclosure requirements.
Describe the regulatory framework for mutual funds, collective investment schemes (CIS), and alternative investment funds (AIFs).
Compare the registration and operational requirements for mutual funds, CIS, and AIFs.
Your checkpoint
Prepare a comparison chart of takeover, buy-back, and fund regulations, and a 10-question quiz on these topics, scoring at least 7/10.
Capital Markets: Structure, Participants and Instruments & Primary Markets: IPOs, FPOs, Rights Issues and Disclosure & Secondary Markets: Exchanges, Trading, Clearing and Settlement & Market Intermediaries and Regulatory Registration
Revisit and consolidate key concepts from domains 1-4 through targeted revision.
Solve at least 50 practice questions covering market structure, primary markets, secondary markets, and intermediaries.
Identify weak areas from practice tests and create flashcards for those topics.
Review recent regulatory changes (e.g., SEBI circulars) that impact these domains.
Your checkpoint
Complete a 50-question timed mock test on domains 1-4, scoring at least 60%, and list five weak areas with corrective actions.
Securities Contracts (Regulation) Act, 1956 & SEBI Act, 1992: Powers, Functions and Enforcement & Depositories Act, 1996 and Dematerialisation & Investor Protection, Grievance Redressal and Insider Trading
Revisit and consolidate key concepts from domains 5-8 through targeted revision.
Solve at least 50 practice questions covering SCRA, SEBI Act, Depositories Act, and investor protection/insider trading.
Analyse the interconnections between SCRA, SEBI Act, and Depositories Act.
Review penalty provisions and enforcement case studies.
Your checkpoint
Complete a 50-question timed mock test on domains 5-8, scoring at least 60%, and write a summary of penalties under each Act.
Takeovers, Buy-backs and Corporate Restructuring & Mutual Funds, Collective Investment Schemes and AIFs
Revisit and consolidate key concepts from domains 9-10 and ensure coverage of all exam domains.
Take two full-length mock tests simulating exam conditions.
Review all mock test mistakes and revise weak topics from the entire syllabus.
Finalise a one-page cheat sheet of key definitions, time limits, and thresholds.
Your checkpoint
Score at least 50% on two full-length mock tests and produce a final cheat sheet covering all domains.
Milestones
Week 2: Complete a self-assessment quiz on domains 1-2 and 4-5 with at least 70% accuracy, and submit the IPO lifecycle note.
Week 4: Score at least 70% on a combined quiz covering domains 3, 6, 7, and 8, and submit the SEBI enforcement case note.
Week 6: Complete the 50-question mock test on domains 1-4 with at least 60% and demonstrate improvement in identified weak areas.
Week 8: Achieve at least 50% on two full-length mock tests and complete the cheat sheet covering all domains.