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    Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation

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    LawSikho

    Explore capital markets transactions with a Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification by LawSikho

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    Mode

    Online

    Duration

    6 Months

    Fees

    ₹ 32000

    Quick Facts

    particular details
    Medium of instructions English
    Mode of learning Self study, Virtual Classroom
    Mode of Delivery Video and Text Based
    Frequency of Classes Weekdays, Weekends
    Learning efforts 8-10 Hours Per Week

    Course overview

    The duration of the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification course is 6 months. The Students will learn various methods of capital raising and gain expertise in pre-listing processes. The certification course offers a comprehensive curriculum that includes the interplay between SEBI, stock and commodity exchanges, and an introduction to capital markets.

    The certification course is designed for Law Students, aspiring Lawyers, Lawyers, Compliance Officers, Commercial Litigators, In-House Legal Teams, Independent Practitioners, In-House Counsels for Listed Companies, and Corporate Lawyers. The Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification by LawSikho offers industry experts to equip the students with the required skills and knowledge.

    Also Read: Online Corporate Law Courses & Certifications

    The highlights

    • 6 Months Online Course 
    • Self-Paced Course
    • 1 Online Live Class/Week
    • 2 Practical/Drafting Exercises Per Week
    • Digital Access to Entire Study Material
    • Training for Writing and Publishing Articles
    • Access to Online Updated Content for 3 Years
    • Instructor-led Course with Online Live Classes
    • Job Recommendation for Top Students

    Program offerings

    • 3 writing assignments
    • Instructor feedback on assignments
    • Doubt clearing within 24 hours
    • Access on lms
    • Android & ios app
    • Doubt clearing on lms & classes
    • Cv enhancement
    • Coaching for professional networking
    • Internship and job support

    Course and certificate fees

    Fees information
    ₹ 32,000

    Diploma in Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation Certification Fee Structure

    Certification Course 

    Fees 

    Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation (Standard Access) 

    Rs 32,000

    Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation (Master Access)

    Rs 2,00,000

    certificate availability

    Yes

    certificate providing authority

    National Skill Development Corporation +1 more

    Who it is for

    Lawyer Chartered accountant Company secretary Compliance manager Corporate lawyer

    The Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification course is designed for aspiring law students, aspiring lawyers and other law professionals to enhance their skills and knowledge. This course is also beneficial for: 

    Eligibility criteria

    Certification Qualifying Details

    The candidates must complete all the exercises and writing assignments to receive a certificate. Students will receive the certificate co-branded by NSDC and Skill India by courier to their provided address.

    What you will learn

    After completing the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification syllabus, the students will gain comprehensive knowledge and practical skills to excel in the Supreme Court. They will learn various methods of capital raising and the difficulties of taking a company public.

    The students will learn about the required changes for listing and planning needed before an Initial Public Offering (IPO). Upon the completion of the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation training, they will be able to advise clients on obligations for an IPO and draft all the responses from SEBI.

    The syllabus

    Interplay Between SEBI, Stock and Commodity Exchanges, Listed Entities and Intermediaries

    • VIDEO - What is the role of SEBI?
    • VIDEO - What are stock exchanges and what do they do?
    • VIDEO - What are commodities exchanges?
    • Role and functions of SEBI, establishment and regulation of stock and commodity exchanges
      • What are the governing laws for SEBI and the stock / commodity exchanges
      • SEBI Act
      • Bye Laws / Constitution documents of Stock Exchanges and their relevance
      • How are commodity exchanges regulated?
    • How to identify the regulations applicable on transition from an unlisted to listed entity and how is this relevant to litigation
      • Unless planned, a newly transitioned entity can miss out on obligations
      • Issue of Capital and Disclosure Requirements regulations
      • Companies Act requirements applicable to listed companies
      • Listing Agreements
      • Listing Obligations and Disclosure Requirements Regulations

    Introduction to Capital Markets

    • Introduction to capital markets and capital market transactions
    • Types of securities
    • Stages in a due diligence process

    Public Issues and Listing

    • IPOs: Pricing, process and allotment
    • How to prepare corporate ads, product ads, statutory ads and other publicity materials
    • Steps to draft and abide by publicity guidelines
    • Credit rating and IPO Grading
    • How to list your shares on a stock exchange

    Other Types of Issues and Methods to Invite Capital

    • Rights issues
    • Bonus and composite public issues
    • Issue of debt and debt listing
    • Employee Stock Options

    Interaction with SEBI/Stock Exchanges

    • How to address interim / final observations received from SEBI
    • How to secure informal guidance from SEBI
    • How to seek exemptions from SEBI
    • Documents to be submitted to stock exchanges under various issuances

    Requirements for Being Continuously Listed

    • Role and responsibilities of the board of directors under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (LODR)
    • Changes in Board and Committee composition upon transition from an unlisted to a listed company
    • Documents required to be filed periodically with the stock exchanges under the LODR
    • Event based filings to the stock exchanges required under the LODR
    • How are related party transactions and subsidiary entities regulated under LODR?
    • Duties of the Recognised Stock Exchanges (RSEs) under LODR CHAPTER: What is reclassification of promoters and what is the impact of such reclassification?

    How to Handle Takeovers: Violations which Could Result in Action and Pitfalls

    • VIDEO - What are takeovers?
    • VIDEO - Who is an acquirer? Who is a person acting in concert?
    • VIDEO - What is a target entity?
    • VIDEO - What are direct and indirect acquisitions?
    • VIDEO - Which regulations govern a takeover?
    • VIDEO - What is an open offer?
    • VIDEO - What is a competing offer?
    • VIDEO - What is a conditional offer?
    • VIDEO - What is an offer period and tendering period?
    CHAPTER - Takeovers of Listed Companies -initial steps
    • When does the takeover code apply?
    • What is an open offer? When is an open offer required to be made?
    • What is the price at which the shares need to be offered?
    • What are the disclosure requirements?
    • What are the steps in the open offer process
    • What is a failed open offer?
    Role of Directors of acquiring and target companies
    • Directors of acquirer to determine:
      • whether the acquisition fits the strategy of the acquirer
      • the resources to be applied and the opportunity costs
      • the risk involved
      • whether there is shareholder support for the acquisition Obligations of directors of acquiring entities under the takeover code Strategies for directors of target companies Obligations of directors of target companies under the takeover code
    • Obligations of directors of target companies under the takeover code
    • Strategies for directors of target companies
    Indirect and creeping acquisitions under takeover code
    • What is an indirect acquisition and why is it carried out?
    • What is creeping acquisition and why is it carried out?
    • Compliance required for indirect and creeping acquisitions
    Hostile takeovers and possible defences
    • What is a hostile takeover?
    • What causes hostile takeovers?
    • How do the acquirers proceed with a hostile takeover?
    • Takeover defence mechanisms
    Five essential ingredients of an open offer
    • Offer size
    • Offer price
    • Period or duration of the open offer
    • Requirements relating to escrow account
    • Consideration for tendering shares through open offer
    How to secure exemption from public announcement
    • General exemptions under takeover code
    • When can exemption be granted by SEBI
    • Procedure for exemption in case of shares transferred to family trusts
    • When can application for exemption be rejected?
    Pitfalls to avoid and violations inviting action from SEBI
    • Planning and monitoring the acquisition of shares
    • Disclosures required to be filed with SEBI and stock exchanges
    • Ensuring the payment to the shareholders on time
    Sample documents
    • Public Announcement
    • Detailed public statement
    • Letter of offer

    How to Avoid or Deal With Regulatory Action in Relation to Insider Trading

    • VIDEO - Who is an insider?
    • VIDEO - Who is a primary insider?
    • VIDEO - Who is a secondary insider?
    • VIDEO - What is unpublished price sensitive information
    • VIDEO - What is a trading window?
    • VIDEO - What is a ‘pre-clearance’ of trade?
    • VIDEO - What is a chinese wall?
    • VIDEO - What is selective disclosure?
    • VIDEO - What is fair disclosure?
    • VIDEO - What is a trading plan?
    Basic concepts related to insider trading and how they impact any litigation
    • What is insider trading? Why is it regulated?
    • Who are insiders? How is this concept relevant to litigation?
    • What is non public information or unpublished price sensitive information and how is it relevant to litigation?
    • What is trading window? What is opening and closing of trading window?
    • What is a trading plan?
    How to ensure compliance with Insider Trading Regulations
    • When are insiders permitted to deal in securities of the Company?
    • What are the clearances required for this purpose?
    • Checks, systems and processes mandated by insider trading regulations
    • Consequences of engaging in insider trading
    • Role of the compliance officer
    • Disclosures required to be made by insiders to company - initial and continual
    • Disclosures required from the company to the stock exchanges
    • How can a lawyer support compliance for preventing insider trading?
    How to draft a code of fair disclosures and a code of conduct
    • Do not go by a standard format
    • Define ‘insiders’ specific to your company
    • Lay down an appropriate method for informing opening and closing of trading window
    • Have clear and easy to understand forms for trading plan and pre-clearance
    • Designate a contact point for any queries
    Miss outs and pitfalls which can land a notice from SEBI
    • Being unable to identify who can be classified as an insider
    • Not identifying which information can be considered UPSI
    • Handling sensitive information casually and not taking enough steps to restrict access to it
    • Social media pitfalls and how you can be covered if you are ‘facebook friends’
    • Discussing / working on sensitive matters on public transport
    • Role of whistleblowers in reporting insider trading violations
    • How does someone know if a trade is based on UPSI?
    • How is SEBI ‘tipped off’?
    • If you become aware of insider trades in your company, what should you do?
    Checklists for
    • Mechanisms to be installed for prevention of insider trading
    Sample documents
    • Sample insider trading code

    Fraudulent and Unfair Trade Practices in Securities Market and Proceedings Against These

    • VIDEO - What is ‘dealing’ in securities market?
    • VIDEO - When is dealing in securities considered to be fraudulent?
    What are fraudulent trade practices and how do market participants benefit from them?
    • What are unfair trade practices?
    • How can the price of securities be manipulated?
    • Does pledging of shares by the promoters impact the price?
    • How can intermediaries be involved in unfair trade practices?
    • What should entities do to ensure that employees do not engage in unfair trade practices?
    • What are the consequences of indulging in unfair trade practices?
    • What should you do if an investigation has been ordered against you under the PFUTP Regulations?
    What remedies do you have if you are a victim of unfair / fraudulent practices?
    • Complaint to SEBI
    • Consumer Forums
    • Criminal proceedings

    Intermediaries Regulated by SEBI: Who, What and How

    • VIDEO - What do stock brokers and sub-brokers do?
    • VIDEO - Who are merchant bankers?
    • VIDEO - Who are portfolio managers?
    • VIDEO - Who are underwriters?
    • VIDEO - Who are bankers to an issue?
    • VIDEO - Who are debenture trustees?
    • VIDEO - What do Registrars to an Issue and Share Transfer Agents do?
    How to meet the compliance requirements for an intermediary under SEBI (Intermediaries) Regulations, 2008
    • Who are the intermediaries and what do they do?
    • What are the standard compliance requirements expected for an intermediary?
    • What are the disclosure and reporting requirements applicable?
    How to deal with an inspection, cancellation or suspension by SEBI under the SEBI (Intermediaries) Regulations, 2008
    Sample documents
    • Sample code of conduct for brokers 
    • Sample code of conduct for portfolio managers

    How Delisting Can Result in Litigation

    • VIDEO - What is delisting
    • VIDEO - What is voluntary delisting
    • VIDEO - What is compulsory delisting
    • VIDEO - What is minimum public shareholding
    • VIDEO - What are the consequences if the MPS falls below the prescribed level?
    • VIDEO - What is reverse book building?
    • VIDEO - What are the eligibility requirements for delisting?
    • VIDEO - Can you apply for exemption from applicability of delisting regulations?
    How to voluntarily delist your securities from stock exchanges?
    • How to voluntarily delist from one of many stock exchanges?
    • When can you delist from all stock exchanges?
    • How to provide an exit opportunity to shareholders and fix the price under the delisting regulations?
    What to do if a stock exchange compulsorily delists your shares?
    • How to deal with minimum public shareholding falling below prescribed limit
    • Can a reduction of the share capital result in increasing MPS and circumventing delisting regulations?
    • How to respond to the stock exchange upon its decision to delist
    • Filing an appeal before the SAT
    Checklist
    • Step chart for delisting from all recognised stock exchanges

    Proceedings Before SEBI: Notice, Response and Settlement

    • VIDEO - What is a Show Cause Notice?
    • VIDEO - What documents should you ask to inspect on receiving a SCN?
    • VIDEO - What to do if SEBI denies inspection of documents?
    • VIDEO - What is a settlement?
    • VIDEO - Does entering into a settlement means that the violations have been condoned?
    • VIDEO - How much penalty can be levied by SEBI?
    • VIDEO - How is the settlement amount paid?
    What to do when you receive a Show Cause Notice (SCN) from SEBI
    • What is a show cause notice?
    • What are the sources on the basis of which SEBI issues a show cause notice?
    • Don’t panic - it's an alleged violation, not a prosecution.
    • Ask for inspection of the documents / information
    • Checking the facts as alleged in the SCN internally
    • Correcting internal systems as required
    How to draft a reply to a Show Cause Notice received from SEBI
    • Why is it necessary to send a response to a legal notice?
    • How to deny the facts alleged in the notice
    • How to establish that there was no violation of SEBI regulations
    • Documents which should be attached in the response
    • Alternative remedies which can be proposed if a mistake has occurred
    • Common mistakes
    • Checklist of items to be included
    • How to draft a response to the legal notice
    What should you take care of while appearing at a hearing before the SEBI / Adjudicating Officer
    • Do not miss the hearing
    • If you have difficulties in appearing, communicate immediately as you receive a hearing notice
    • Can you challenge a hearing notice if there is a nominal gap between the date of notice and date of hearing?
    • How to authorize your representative
    • Be thoroughly aware of the facts and figures
    • Keep your objective in mind - do you want to settle?
    • Ex-parte orders and how to avoid them
    How to arrive at a settlement in the proceedings before the SEBI / Adjudicating Officer
    • In what matters can a settlement be accepted by SEBI?
    • Does settlement mean that the alleged violator will not be prosecuted?
    • Matters in which filing a consent form for settlement is not beneficial to noticee
    • How to file the consent form for settlement?
    How to file an intervention application before SEBI
    • What is an intervention application?
    • Who can file an intervention application?
    Sample documents
    • Draft reply to a show cause notice - front running
    • Draft reply to a show cause notice - insider trading
    • Consent form for settlement
    • Intervention application

    Securities Appellate Tribunal and Its Jurisdiction

    • VIDEO - What is the Securities Appellate Tribunal?
    • VIDEO - Against whose orders does the SAT have jurisdiction?
    • VIDEO - Are circulars issued by SEBI appellable before SAT?
    SAT - Constitution and jurisdiction
    • Legal basis for existence of SAT
    • Composition of SAT
    • Jurisdiction - Geographical and relating to matters
    • How to get on the panel of advocates for SEBI and stock exchanges
    Which orders of SEBI and stock exchanges are most contested before the SAT and the strategies to deal with such orders
    • Penalty for failure to disclose
    • Non compliance with regulations relating to offering exit opportunity, fixing of an exit price under takeover/delisting
    • Unfair/fraudulent trade practice under the PFUTP / individual intermediaries regulations
    • Refusal to list / delist / provide no objection / imposing penalty by stock exchanges

    Appeal Before The Securities Apppellate Tribunal and Hearing

    • VIDEO - Who can represent employers / clients before SAT?
    • VIDEO - What is the cost of filing appeals before SAT?
    • VIDEO - How long does a proceeding before the SAT last?
    • VIDEO - How can you get empanelled with SEBI / Stock Exchanges to represent them before SAT?
    • VIDEO - What skills do you need to develop to have a successful SAT litigation practice?
    How to draft a memorandum of appeal
    • Components of a memorandum of appeal
    • Where to file an appeal
    • How to draft the grounds
    • How to draft the prayer
    • Applications for condonation of delay
    • Application for stay of order
    • Common mistakes in drafting and filing a memorandum of appeal
    • Checklist of items to be included in a memorandum of appeal
    • Sample format of a memorandum of appeal
    • Time limit for filing an appeal
    • How to draft a rejoinder?
    • Necessity of filing a rejoinder
    • Time limit for filing the rejoinder
    • Applications for condonation of delay
    • Common mistakes in drafting and filing a rejoinder
    What should you take care of while representing your client / employer before the Securities Appellate Tribunal?
    • List of major hearings in a SAT proceeding
    • Appearance of parties
    • Ex-parte orders and how to avoid them
    • How to authorize your representative
    • Admission and denial of documents
    • Discovery and production of documents
    • Requisitioning of reports
    Sample documents
    • Sample Memorandum of Appeal - PFUTP matter
    • Sample Memorandum of Appeal - Insider dealing matter
    • Memorandum of Appearance / Vakalatnama
    • Sample format of Affidavit in reply
    • Sample format of rejoinder

    What to Do Next After a SAT Order

    Admission details

    To join the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation classes, follow the below-mentioned steps: 

    Step 1: Browse the link mentioned below:

    https://lawsikho.com/course/capital-markets-securities-laws-insider-trading-and-sebi-litigation

    Step 2: Candidates must click on the “Enroll Now” button, fill in the necessary information and click on the “Submit” button.

    Scholarship Details

    • VIDEO - Where can a SAT order be contested?
    • How and when to file an SLP with the Supreme Court against the orders of SAT
    • How and when to file a writ petition with the High Court under Article 226 of the Constitution of India against circulars issued by SEBI
      • Only ‘orders’ of SEBI can be contested before SAT;
      • What are the prerequisites for writ jurisdiction to be invoked against a SEBI circular.

    How it helps

    The Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification benefits include:

    • Participants will be able to attend 1 online live class and 2 practical exercises per week and will receive the printed study material by courier as well as digital access to the entire study material for 3 years. 
    • They will also receive guidance from instructors on assignments and will be able to clear their doubts on WhatsApp, LMS & Classes within 24 hours. 
    • The certification course helps students in developing attention-grabbing CVs, coaching for professional networking, interview preparation, and training for writing and publishing articles. 
    • Aspirants will also get placement assistance for jobs, internships and assessment internships. 
    • They will also get support for networking with other students and alumni, and top students will get recommended to law firms and companies.

    FAQs

    What is the duration of the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation training?

    The certification course lasts for 6 months. The students will gain a deep understanding of complexities in the company public, drafting various petitions, appeals, applications, and affidavits filed before the Supreme Court.

    Who can apply for the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation online course?

    The course can be applied by Law Students, aspiring Lawyers, Lawyers, Compliance Officers, Commercial Litigators, In-House Legal Teams, Independent Practitioners, In-House Counsels for Listed Companies, Corporate Lawyers, Chartered Accountants and Company Secretaries.

    Will the students get remote freelance work opportunities after pursuing the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation certification course?

    Yes, students with advanced legal skills and knowledge get opportunities in criminal litigation, trial advocacy, presenting cases in court, handling criminal matters, and practising trial techniques.

    Are students eligible for remote freelance work opportunities if they are still learning professional-level skills?

    Students who are developing their legal skills are provided with work opportunities like writing articles, conducting research, legal transcription, data entry, law firm administration, social media management, voice-over work, data compilation, translation, and virtual assistance.

    Who are the potential employers for the Diploma in Capital Markets, Securities Laws, Insider Trading and SEBI Litigation online course?

    The potential employers are In-house legal teams of listed entities, large conglomerates, law firms, corporate brokers, investment banks, portfolio managers, merchant bankers, other market intermediaries, compliance teams in corporations, SEBI, stock exchanges and startups.

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