Programme on Investigating Economic Crimes in Securities Markets For Revenue Officers
July 09-13, 2018 | NISM Campus, Patalganga
A Programme on ‘Investigating Economic Crimes in Securities Markets’ for Revenue Officers was held during July 09-13, 2018 at NISM Campus, Patalganga.
The purpose of the programme was to make the participants aware about various types of securities market manipulation/ frauds, detailed processes’ of Investigations, Enforcement at SEBI, case laws related to investigation matters, etc.
Mr. Jitendra Kumar, Member of Faculty, NISM was the Programme Director.
The programme was inaugurated by Mr. G. Mahalingam, WTM, SEBI and Dr. M. Thenmozhi, Director, NISM.
The following areas/topics were covered:
| Sr.no. | Session | Speakers |
| 1 | Challenges of Monitoring Indian Securities Markets or Investigations at SEBI | Mr. G. Mahalingam, WTM, SEBI |
| 2 | Presentation on NISM | Mr. Jitendra Kumar, Member of Faculty, NISM |
| 3 | Powers and Functions of SEBI including provisions related to Investigation | Mr. Jitendra Kumar, Member of Faculty, NISM |
| 4 | • Primary Market• IPO related Manipulation and Investigation | Mr. Narendra Rawat, DGM, SEBI |
| 5 | Understanding Secondary Markets | Mr. Nitin Tike, SVP, NISM |
| 6 | Surveillance of Equity and Commodities Derivatives Market | Mr. Vishal Padole, AGM, SEBI |
| 7 | Sessions on IMSS & DWBIS | Mr. Vishal Padole, AGM, SEBI |
| 8 | Investigation at SEBI | Mr. Jitendra Kumar, Member of Faculty, NISM / Programme Director |
| 9 | • CIS and Deemed Public Issue• Case Study of Sahara | Mr. Vishal Shukla, Member of Faculty, NISM |
| 10 | • Understanding IDR and GDR• Investigating frauds related to GDR | Mr. Sunku Venugopal, Member of Faculty, NISM |
| 11 | Behavioral Finance | Mr. Jitendra Kumar, Member of Faculty, NISM / Programme Director |
| 12 | Enforcement Process in SEBI including Prosecution & Recovery I & II | Mr. D.V. Sekhar, GM, SEBI |
| 13 | Hands-on exposure in trading in simulated environment at NISM Finance lab | Prof. Latha Chari, Chair Professor, NISM |
| 14 | • Visit to BSE:• Session on ‘Surveillance & Investigation – Exchange Perspective’ | • Addressed by Mr Ashish Chauhan, MD & CEO, BSE• Mr. Rajesh Saraf, CGM, BSE |
| 15 | • Enquiries and Adjudication at SEBI• Discussion on Relevant Case Laws | Mr. Sahil Malik, DGM, SEBI |
| 16 | Supervision of Intermediaries | Mr. G. Ram Mohan Rao, GM, SEBI |
| 17 | Investigation related to Insider Trading – Tools and Techniques used | Mr. V. S. Sundaresan, CGM, SEBI |
| 18 | • Important Case Laws• Closing Remarks on Investigation | Mr. V. S. Sundaresan, CGM, SEBI |
We have also organised a musical programme and a movie (Inside Job) show in the evening.
The valedictory was done by Dr. M. Thenmozhi, Director, NISM. Mr. V. S. Sundaresan, CGM, SEBI was also present during the valedictory session. All the participants were given Certificate of Participation.
