Diploma In Securities and Capital Market 2019-20


13th January, 2020 – 28th February, 2020

Faculty In- Charge: Ms. Smita Sabne

Program Objective:

The Certificate Program on Securities Laws is a comparative study of legal and regulatory frameworks. It is designed to enable the participant to understand the critical securities market processes, such as legal, due diligence and compliance.

The programme is intended for those who want to begin their careers in legal and compliance domain in securities markets.

The key-take away of the program are:

  • Identify and execute the law and procedures necessary for public issues, rights issues, and preferential issues
  • SEBI’s operation and role as the primary capital market regulator
  • Law and procedure relating to prospectus and offer documents in cases of public offering of securities by a company
  • Understanding the role of lawyers, accountants, analysts, investment bankers, rating agencies and financial intermediaries in various capital raising modes

Program Content:

    • Securities Contracts (Regulation) Act, 1956:
    • Securities and Exchange Board of India Act, 1992
    • Depositories Act, 1996
    • An Overview of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009
    • An Overview of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
    • SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003.
    • SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
    • SEBI (Delisting of Equity Shares) Regulations, 2009
    • SEBI (Prohibition of Insider Trading) Regulations, 2015
    • SEBI Guidelines for Anti Money Laundering Measures


  1. Mutual Funds
  • Collective Investment Schemes


  • Primary Market & Secondary Market
  1. Securities Market Intermediaries


Eligibility:  Any graduate                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Program Structure:

Classroom– 60 Hours of learning

  • Commencement of the Program: 13th January, 2020
  • Last date of the Program – 28th February
  • Timings:6.00pm to 8.00pm
  • Days: Monday to Friday



  • Case Studies
  • Relevant provisions of law



  • Attendance – 10 marks
  • 2 MCQ exam – 50 marks each i.e. Total 100 marks
  • One MCQ on entire Syllabus – 150 marks
  • Viva – 40 marks



Classroom training will be provided by Senior Corporate Lawyers, Chartered Accountants, Company Secretaries and Experts from Corporate Sector.

Certificate will be issued to the student who –

  • Has attended 70% of the lectures and
  • Has appeared and passed with at least 40% marks in all the assessments.

Study Material

  • Compilation of Bare Acts,
  • Notes and Material

Seats: 100 students Maximum

      Registration Open: From: 5th December 2019 to 13th January 2020

    Registration Fees:  Rs.20000/- + GST – Rs.3600/- = Rs. 23600/-

    Payment Mode:    Online.

    Payment can be done online through Direct SBI, Net banking and  

    Credit card only.

    Debit Cards payments are not acceptable.


   Office Coordinator: – In case of any correspondence please contact

   Ms. Deepali Manjarekar – deepali.manjarekar@ilslaw.in