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  • A 2½ months, week-end classroom programme for Working Executives.
  • Convenient schedule across 14 Saturdays and timings from 10.00 am to 5.30pm
  • Core faculty team being top academicians and officers from SEBI on deputation to NISM
  • Interface with market experts
  • Globally benchmarked curriculum, updated regularly
  • Policy-research based inputs, based on past experience and live projects
  • Inputs on regulation from senior officers from SEBI and RBI
  • The course would be offered at least twice in a year for working Executives

CSL is designed to enable the participant to understand the critical securities market processes, such as legal, due diligence and compliance. Those with a background in law will appreciate securities market inputs, and conversely, those
with a securities market background will better understand compliance and due diligence. Securities market laws can be demarcated as distinct field of specialization, with a unique body of knowledge. This body of knowledge is undergoing continuous expansion and consolidation. New laws are being written, while old laws are being repealed. The Sarbanes-Oxley and Dodd-Frank recommendations have far-reaching influences on regulations.Some of the most recent developments in India relevant to legal and compliance professionals are:

  • Vast changes in the Companies Act 2013 and implications for capital issues
  • New powers to SEBI to address regulatory arbitrage gaps,including Collective Investment Schemes
  • New-age regulations to address matters such as Alternative Investments, Crowd-funding, REITS, Infrastructure Investment Trusts etc.
  • Redesigning the regulatory regime for foreign investors (Foreign Portfolio Investors or FPI)
  • Anti-money laundering laws and cooperation across jurisdictions in various parts of the world
  • Impact of various taxation regimes on investment practices,nationally and internationally
  • International influences, such as IOSCO, WFE, FATF, FSB and BIS


The continuous growth and development of capital market in India has created enormous demand for professionals with proficiency in securities laws. The CSL experience will also serve as a continuing professional development programme and update the knowledge of the participants.The participants of the CSL course may seek to start their career with the following organizations:
Intermediaries : Merchant Bankers - including lead managers, co-lead managers, under-writers to issues, officers in compliance functions in various intermediaries regulated by SEBI such as stock-brokers, stock exchanges, depositories,
depository participants, custodians, bankers to issues,
▪ The programme is intended for those who wants to begin his/her career in legal and compliance domain in securities markets.
▪ Those aspiring to work with intermediaries such as brokers,asset management companies of mutual funds, merchant bankers, portfolio managers, wealth managers, depositories,depository participants, custodians, bankers to issue, etc.,
stock exchanges, banks, financial institutions, regulatory bodies, govt. agencies, law firms, investors.
▪ Working executives in the financial markets domain facing exposure to securities laws.
▪ Working executives in the legal and compliance domain facing exposure to the technicalities and latest developments in the securities markets.
▪ Students seeking to supplement their knowledge in securities laws or the securities markets domain.


The basis eligibility for the course is graduation in any discipline from any university recognized by UGC or equivalent. However, the students currently pursuing graduation in any discipline may be considered. registrars and share transfer agents, credit rating agencies,portfolio managers, mutual funds, alternative investment funds, FPI, KRAs etc. Compliance and investor-relation officers in large companies and industry groups that frequently access the securities markets or engaged in corporate actions such as restructuring, share-buyback,stock splits, ESOPS, listing, FPO, Rights issues, IPP etc. Consultants engaged in advising on matters such as corporate finance, restructuring, fund-raising plans, collaborations, FDI,private placements etc.The above organizations may be benefited from the knowledge enhancement of their in-house executives through this course.

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