1. IssuersInvestors SecuritiesInter- MarketmediariesRegulators

2. 1998-1999Maximum Index Level : 4280.962007-2008Maximum Index Level : 20873.33The growth in securities market can be visualizedfrom the rise in Sensex from 1998-1999 to 2007-2008. 3. Intermed- Iaries :Less StringentLesser RegulationsRespons- ibilities More Lesser Listed SuspendedCompanies Companies SeveralStockExchanges Scattered & Undeveloped Market 4. Intermediaries:Established & StricterWith GreaterRegulationsResponsibilities MoreCorporateRestructuringsMore IPOs/ FPOs/Right Issues More Listed Compliant Companies Independent Stock Exchange DevelopingMarkets 5. InternationalListings More ADRs/E- GDRs/ FCCBsConnectivityGlobalRestructuringsIntermediaries:MergerMuch More Of Exchanges ResponsibilitiesRevival ofMore Stringent InactiveRegulationsExchangesDeveloped Globalisation Market& Liberalisation 6. Listed Companies Consulting companies Merchant Banker Broker Bankers to an Issue Registrar & Share Transfer Agent Custodian Depositories & Participant Stock Exchanges Debenture Trustee Commodities Exchanges Credit Rating Agency Investors QIBs Regulators Portfolio Manager 7. 9487404Brokers186 Depository 57 ParticipantMerchant Banker Registrar& Transfer Agents48Banker to an 23 Issue Debenture 16Trustee5Custodians Credit Rating Agency 8. BOARD OFDIRECTORS DIR A DIR B DIR CDIR D DIR E COMPANY POLICIESINVESTORS CUSTOMERSSUPPLIERS COMPANY GOVERNMENT ANDEXTERNAL STAKEHOLDERS SECRETARYREGULATORSLENDERSSOCIETY DEPARTMENTS IN A COMPANYCORPORATE FINANCE AND HUMAN CORPORATE PRODUCTION INFORMATION LEGAL MARKETINGPLANNINGACCOUNTSRESOURCES COMMUNICATION OPERATIONS AND TECHNOLOGYOPERATIONAL PLANNING AND EXECUTION 9. COMPANYSECRETARY 10. In relation toRenders Audit, management, lIndependent Bound by CodeAdvisory, aw & Corporate Professional of ConductRepresentation Governance Servicesprocesses &practices 11. WHYFORCS BEST SERVICES SECURITIESSUITEDRELATED MARKET TOHOW?? 12. Knowledgeof Securities &Other LawsCommunication Skills LeadershipEntrepreneurship 13. Securities Contract &SEBIRegulation ActAct, Rul es &Rules &Regulat Byelaws ofSEBI Regulations ions Stock Exchanges Other LawsDepositoriesAct Listing Agreement 14. Intermediaries Regulations SAST Regulations COMPANIESINTERMEDIARIES Merchant Bankers Regulations Buy-back of securities Credit Rating AgenciesRegulationsRegulationsProhibition of Insider Trading Depositories & Participants RegulationsRegulationsDelisting of Equity Shares Custodian of Securities RegulationsRegulationsInvestor Protection & Bankers to an Issue Education Fund RegulationsRegulationsIssue & Listing of Debt Debenture TrusteesSecurities RegulationsRegulationsProhibition of Fraudulent & RTA Regulations UTP relating to Securities Portfolio ManagersMarket RegulationsRegulationsDIP Guidelines Stock Brokers & Sub-brokersRegulations 15. Listed Companies Unlisted CompanyCompanyabout to come with the IPO & get Listed Merchant Bankers Intermed RTAs -iaries Brokers Depositories etc. AdvisorsOthers Stock Exchanges 16. Vigilance Officer EventManager Face of Management StrategicPlanner COMPANY SECRETARYKeypoint betweennavigates the Company & CORPORATE GROWTHStakeholderswithKnowledge ofGOOD GOVERNANCEVarious SecuritiesLaws 17. ApprovalsDue Diligence AppointmentRequired & Compliance ofIntermediaries By CompanyBy Intermediaries PromotersEligibility Contents ofPricing ofDisclosuresNorms Prospectus securitiesCompliance ofvarious Rules & Post IssueRegulations obligations 18. Strategic PlanningDue-Diligence Appointment of Exemptions Intermediaries &fromother Involved Takeover AgenciesPanel AcquirerDeterminationTargetof Offer PriceCompanyLegal & Documentations Post Offer Representing theProceduralCompliancesCompany before all Aspects AuthoritiesPublicLetter ofAnnouncementOffer 19. Strategic Planning ApprovalsDocumentations RequiredHighScheme ofCourtRD/ OL /Merger Petitions ROCStockExchange Tax PlanningPost- Merger CompliancesLegal & Financial Due DiligenceAspects of Business 20. Approvals AppointmentCoordinationStrategic Planning Required ofwithIntermediaries IntermediariesStockExchange SEBIDue-Diligence Legal & Procedural Buy- Back offerAspects & Offer Price Post- OfferCompliances 21. Unlisted Company ListedCompanyObject :IPO 22. For Clients RepresentationsExpansionDue Diligence of Companies Strategic Planning Strategic Planning Representations Reports of variousRestructuringbefore SEBI, SAT & corporate actions such as Mergers Stock Exchange on Public Issue/ Right Issue/ Change in Control behalf of the Buy-Back etc. Expansion ofIntermediary as well Issue various Certificatesas on behalf of theBusiness as prescribed under SEBIClients Act/ Regulations/ Guidelines 23. Event BasedCompliances Routine CompliancesGeneral Link between Comply withIntermediary/ various reports to be RestructuringClients &Authoritiessent to Mergers Vetting of Legal Authorities Change in ControlAgreements with Certificates Change in DirectorsAuthorities &Clients Internal Audit 24. Listing DepartmentSurveillanceMembership DepartmentRepresentation before SAT onbehalf of the ExchangeSecretarial Department 25. As As AsPCS AdvisorRepresentator DueBrokers Audit DiligenceSecuritiesCertifications Audit Appearance as per Listing Corporate before : AgreementRestructuring SEBICertifications Capital SAT required forRestructuring CLB Corporate Unlocking Consent Orders Actionscompanys realSecretarialvalue Audit 26. Merchant Depository Banker RegistrarManagement & TransferConsultantBroker AgentFor this one must have 27. Contd. As specified by Sound legalSEBI from time toknowledgetime Familiarity with securities market Good communication skills ManagementInvestmentSkills skillsExperience Revenue As prescribed by More Efforts MoreAuthoritiesRevenue Preferably havean experience inthe field ofSecurities Market Dealt with SEBI &Exchanges 28. Securities Market is in its nascentstage & its emergence will bringabundant opportunities & issues tobe resolved