Question

needs to be taken into consideration. a) State any three 'regulatory functions' of Securities and Exchange Board of India. OR State any three…

Accepted Answer

(a). Regulatory functions of SEBI: 1. Registration of brokers and sub-brokers and other players in the market. 2. Registration of collective investment schemes and Mutual Funds. 3. Regulation of stock brokers, portfolio exchanges, underwriters and merchant bankers and the business in stock exchanges and any other securities market. 4. Regulation of takeover bids by companies. 5. Calling for information by undertaking inspection, conducting enquiries and audits of stock exchanges and intermediaries. 6. Levying fee or other charges for carrying out the purposes of the Act. 7. Performing and exercising such power under Securities Contracts (Regulation) Act 1956, as may be delegated by the Government of India. OR (b). Objectives of SEBI: 1. To regulate stock exchanges and the securities industry to promote their orderly functioning. 2. To protect the rights and interests of investors, particularly individual investors and to guide and educate them. 3. To prevent trading malpractices and achieve a balance between self- regulation by the securities industry and its statutory regulation. 4. To regulate and develop a code of conduct and fair practices by intermediaries like brokers, merchant bankers etc., with a view to making them competitive and professional.

needs to be taken into consideration.
State any three 'regulatory functions' of Securities and
Exchange Board of India.

Marking-scheme solution

More from Financial Markets

needs to be taken into consideration.(a)OR(b)State any three 'regulatory functions' of Securities andExchange Board of India.State any three objectives of Securities and Exchange Board ofIndia.

Marking-scheme solution

More from Financial Markets

needs to be taken into consideration.
State any three 'regulatory functions' of Securities and
Exchange Board of India.