I: Introduction to Securities

Introduction to Equity and Debt

Features of Equity Capital and Benefits to Equity Investors

Features of Debt Capital and Benefits to Debt Investors

Hybrid Structures

II: Characteristics of Equity Shares

1. Investors in Equity Shares
2. Rights of a Shareholder 
3. Risks in Equity Investing
4. Equity Terminology
5. Corporate Actions
6. Reduction of Share Capital
7. Preference Shares                      
8. Rights Issue of Shares
9. Preferential Issue

III: Characteristics of Debt Securities

1. Features of a Debt Security
2. Market Value of a Debt security
3. Yield from Debt Instruments
4. Types of Debt Securities
5. Classification of Debt Market
6. Credit Rating
7. Money Market Instruments

IV: Characteristics of Other Securities

1. Warrants
2. Convertible Debentures
3. Depository Receipts
4. Foreign Currency Convertible Bond (FCCB)
5. Exchange Traded Funds (ETFs) and Index Funds
6. Investment Trusts
7. Alternate Investment Funds (AIFs)
8. Corporate Fixed Deposits

 V: Basics of Mutual Funds

1. Introduction to Mutual Funds
2. Advantages of Mutual Funds
3. Open Ended and Close Ended Mutual Funds
4. Assets under Management (AUM)
5. Net Assets

VI: SEBI – Role and Regulations

1. Securities and Exchange Board of India Act, 1992 and Role of SEBI
2. SEBI Regulations specifically aimed at Investor Protection
3. Investor Education and Protection Fund (IEPF) Authority
4. SEBI Regulations for Registrars and Transfer Agents

VII: Public Offer of Securities

1. Issuing Equity Capital
2. Public Offer of Shares
3. Reservations
4. Initial Public Offer 
5. Eligibility for Public Issue of Shares
6. Further Public Offer 
7. Buy Back of Securities

 VIII: Modes of allotment of shares other than Public Offers

1. Private Placement of Shares
2. Qualified Institutions Placement
3. Rights Issue
4. Employee Stock Options (ESOPs)
5. Conversion of Convertible Debentures/ Bonds into shares

IX: Processes related to Public Offering of Shares

1. Pre-Issue Work
2. Post-Issue Work
3. Terms and Concepts in Public Issue of Shares
4. Prospectus
5. Red Herring Prospectus
6. Underwriting
7. Green Shoe Option
8. Methods of Making a Public Issue of Shares
9. Initial Public Offer (IPO) by Small and Medium Enterprises (SME)

X: Roles and Responsibilities in a Public Issue

1. Registrar and Transfer Agents
2. Sponsor Bank
3. Bankers to the Issue
4. Role and Responsibilities of the Registrar to the Issue regarding UPI Mechanism
5. Brokers to the Issue/Syndicate Members/ Designated Intermediaries

 XI: Depository Services

1. Dematerialisation
2. Constituents of the Depository System
3. Investor’s Interface with the Depository

XII: Processes Related to Depositories

1. Dematerialisation of Securities
2. Rematerialisation of Securities
3. Trading and Settlement
4. Beneficial Owner Reporting
5. Corporate Actions
6. Reconciliation
7. Crediting shares to IEPF Account

 XIII: Investor Interface with the R&T Agent

1. Transfer of Securities 
2. Recording Change in Investor Information 
3. Issue of Duplicate Certificate for Securities
4. Stop Transfers
5. Transmission
6. Annual General Meeting
7. E Voting
8. Responsibilities of RTA during Annual General Meetings (AGM)

Annexure A: Standard Operating Procedure for Change of Address

Annexure B: Standard Operating Procedure for Issuance of Duplicate Share Certificate

Annexure C: Standard Operating Procedure for Transmission of securities

XIV: Secondary Market Transactions

1. Stock Markets
2. Participants in the Stock Markets
3. Listing of Securities
4. SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR)

XV: Client Servicing

1. Investor in context of RTA organisation
2. First Time Right (FTR)
3. Principles of Client Servicing
4. Service etiquettes of RTA organisations in Client Servicing