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.

  2. F3

    Market Infrastructure, Settlement and Technology

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

  3. F4

    Issuance

    Bringing a security to market. Offer documents, book building, lock-in, anchor investors.

    • Framework

      How to Read a Draft Offer Document, Step by Step

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  4. F5

    Listed Markets

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

    • Framework

      How to Map a Listed-Company Disclosure Requirement

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  5. F6

    Market Conduct

    What is prohibited, how it is detected, and what a sanction looks like.

    • Framework

      How to Identify a Conflict-of-Interest Disclosure

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    • Framework

      How Financial-Promotion Rules Differ Across Regulated Activities

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  6. F7

    Pensions and Insurance

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

    • Framework

      How Insurance and Pension Regulation Is Organised in India

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