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Essentials of Capital Markets
Essentials of Capital Markets
Subject(s): Commerce
ISBN 9789393161024
 Publication Date
  Pages 360

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Capital Markets are market for securities—for raising long-term funds needed for trade, industry and government. This book in 21 chapters cover various aspects of capital markets and deals with contemporary topics like Insider Trading, Listing and OTCEI. Written in a clear and simple style, the book is targeted at students of commerce and management disciplines.

Cover
Title Page
Copyright Page
Contents
Preface
Chapter 1. Financial Markets
Definition
Location
Role
Functions
Constituents
Financial Instruments
Indian Financial Market
Global Financial Markets
Review Questions
Chapter 2. Capital Markets
Money Market
Indian Capital Market — Evolution and Growth
Constituents of Indian Capital Market
New Financial Institutions
New Financial Instruments
Review Questions
Chapter 3. Capital Market Instruments
Meaning
Types
Preference Shares
Equity Shares
Non-Voting Equity Shares
Convertible Cumulative Preference Shares (CCPS)
Company Fixed Deposits
Warrants
Debentures and Bonds
Global Debt Instruments
Review Questions
Chapter 4. Regulation of Indian Capital Market
Genesis
The Factors
The Regulatory Framework
Committees on Regulatory Framework
Review Questions
Chapter 5. SEBI — Functions and Working
Genesis
Features of the SEBI Bill
Objectives
Management
Powers and Functions
Regulatory Role
Role and Relevance
Review Questions
Chapter 6. Investor Protection
Loss of Confidence of Small Investor—Causes
Rights of Investors
Facilities by BSE
Review Questions
Chapter 7. Insider Trading
Rationale
Insiders — Categories
Insider Information
Connected Persons
Need for Control
Prohibition of Insider Trading
Investigation by SEBI
Action by Corporates
Review Questions
Chapter 8. Stock Exchange
History of Stock Exchanges
Meaning
Definition
Functions/Services/Features/Role
Stock Exchange and Commodity Exchange Distinguished
World’s Stock Exchanges
Organization Structure
Mode of Organization
Stock Exchange Traders
Jobbers and Brokers
Jobbers Vs Brokers
Weaknesses
Regulation of Stock Exchanges
Steps in Stock Trading
Mechanics of Settlement
Review Questions
Chapter 9. Indian Stock Exchange
The Bombay Stock Exchange (BSE)
Bolt (BSE-On-Line-Trading)
For New Companies
For Companies Listed on Other Stock Exchanges
For Companies Delisted Already and Seeking Relisting of this Exchange
Safety of Market
Opportunities for Foreign Investors
The National Stock Exchange of India Limited (NSE)
Review Questions
Chapter 10. Primary Market
NIM and Secondary Markets—An Interface
Services of NIM
NIM Vs. Secondary Market
Review Questions
Chapter 11. Methods of New Issue
Methods of Marketing Securities
Stock Option or Employees Stock Option Scheme (ESOP)
Bought-out Deals Vs. Private Placements
Review Questions
Chapter 12. Intermediaries in New Issues Market
Intermediaries in NIM
Merchant Bankers/Lead Managers
Underwriters
Bankers to An Issue
Brokers to An Issue
Registrars to an Issue and Share Transfer Agents
Debenture Trustees
Review Questions
Chapter 13. SEBI Guidelines on Primary Market
SEBI Guidelines for Listed and Unlisted Companies
Partly Paid-up Shares
Review Questions
Chapter 14. Listing
Security Listing
Security
Stock Exchange
Recognized Stock Exchange
Legal Provisions
Steps
Legal Significance
Refusal of Listing
SEBI Powers
Listing and Corporate Governance
Particulars to be Furnished
Listing Agreement
Stock Exchange Powers
Listing—Benefits
Consequences of Non-Listing
New Entry Norms for Unlisted Companies
Listing—Suspension / Withdrawal
Review Questions
Chapter 15. Underwriting
Definition
Types
Mechanics of Underwriting
Benefits/Functions
Indian Scenario
Underwriting Agencies
Obstacles
Underwriter
Underwriting Agreement
Variants of Underwriting
Grey Market
Review Questions
Chapter 16. Book-Building
Concept
Characteristics
The Process
Reverse Book-Building
Review Questions
Chapter 17. Over the Counter Exchange of India (OTCEI)
Genesis
Otcei Vs. Other Stock Exchanges
‘Over-The-Counter’
Need and Objectives
Features
Benefits
Securities Traded
Players
Members and Dealers
Sponsorship
Admission of Members—Conditions
Admission of Dealers—Conditions
Registrars and Custodians
Review Questions
Chapter 18. Depository Services
Depository
Bank and Depository—Comparison
Depository Participant (DP)
Depository (Demat) Services
Services/Functions
Demat (Beneficiary) Account
Dematerialization
Electronic Settlement of Trade—Procedure
Demat of Debt Instruments
Safety System for Demat
Shortcomings of Demat System
Indian Depository
Role of CDSL
Constitution
Major Tasks
Benefits
Role of NSDL
Depository Stock Exchanges
Legal Framework
Review Questions
Chapter 19. Speculation
Speculation Vs. Gambling
Investors Vs. Speculators
Types of Speculators
Review Questions
Chapter 20. Online Stock Trading
Meaning
Features
Current Scenario
Internet Trading—Alternatives
Review Questions
Chapter 21. Debt Market
Advantages
Risks on Debt
Issuers Profile
Types
Role of Bond Market
Price Determination—Factors
Yield of Bond
Yield and Price
Secondary Debt Market
Repos and Normal Buy or Sell
Broken Period Interest
Guidelines for Issue of Debt Instruments
Review Questions
Index

Dr. Gurusamy is currently Professor and Head, Department of Commerce, University of Madras, Chennai.

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