Indian Markets, Regulation & Professional Standards

  1. F1

    Registration, Professional Standards and the Rulebook

    The rulebook itself. Who regulates what, the instrument hierarchy, and the registered roles.

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      Topic 01

      Research Analyst

      Topic 02

      Adviser

      Topic 03

      Portfolio Manager

      Topic 04

      Distributor

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  2. F2

    Intermediaries

    The registered entities. What each is licensed to do and what registration obliges.

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      Topic 01

      Foreign Portfolio Investor

      Topic 02

      Foreign Direct Investment

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  3. F3

    Market Infrastructure, Settlement and Technology

    The infrastructure layer and the rules that bind it. Demat, settlement finality, appeals.

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      Topic 01

      Algorithmic Trading

      Topic 02

      API Trading: Where the Line Falls

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  4. F5

    Listed Markets

    Life after listing. Continuing obligations, disclosure and the compliance officer.

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      Topic 01

      Listed Entity

      Topic 02

      Intermediary: Two Statuses Compared

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  5. F7

    Pensions and Insurance

    The other two regulators. IRDAI and PFRDA, their intermediaries and the NPS architecture.

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      Topic 01

      NPS

      Topic 02

      APY: How the Two Pension Arrangements Differ

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