Manegement of financial markets and services in India/ 
Babu,G.Ramesh 
 - 1st.ed. 
 - New Delhi:  Concept pub.comp.,  2012. 
 - 416 
<br/><br/>UNIT 1: Indian Financial System<br/>n  Crisis in The Economy<br/>• Finance Ratio<br/>• Financial Interrelation Ratio<br/>• New Issue Ratio<br/>• Intermediation Ratio<br/>n  Monetary Policy<br/>n  Growth<br/>n  Inflation<br/>n  Monetary Aggregates<br/>• Policy Stance<br/>n  Other Development and Regular Policies<br/>n  Setting Up New Banks<br/>n  Savings and Investments<br/>n  Interest Rates<br/>n  Savings in Personal Finance<br/>n  Savings and Inflation<br/>n  Objectives of Investor<br/>n  Investment and Speculation<br/>n  Definition of Investment<br/>n  Speculation<br/>n  Savings Pattern in India<br/>n  Savings Rate in India<br/>n  Household Savings Rate<br/>n  An Overview of Indian Financial System<br/>• First Phase (Prior to 1950)<br/>• Second Phase: 1950-1991<br/>• Third Phase (1991 to —)<br/>Banking Sector in India<br/>Early History<br/>From the First World War to Independence<br/>Post-Independence<br/>Nationalisation<br/>Liberalisation<br/>Financial Sector Reforms in India<br/>Financial Regulation in USA<br/>• Commission Members<br/>• Overview<br/>• History<br/>The Commodity Futures Trading Commission (CFTC)<br/>The Federal Reserve System<br/>Federal Deposit Insurance Corporation<br/>Office of the Controller of Currency<br/>National Credit Union Administration<br/>Office of the Thrift Supervision (OTS)<br/>Financial Services Authorities UK (FSA)<br/>Autorite Des Marches Financiers (AFM France)<br/>Monetary Authority of Singapore<br/>Swiss Financial Market Supervisory Authority, Switzerland<br/>Consor, Italy<br/>China Securities Regulatory Commission, China<br/>China Insurance Regulatory Commission, China<br/>China Banking Regulatory Commission, China<br/>CVM, Brazil<br/>IDA, Canada<br/>OSF, Canada<br/>Foreign Direct Investments in India<br/>• New Ventures<br/>• Existing Companies<br/>Agriculture Sector In India<br/>Interlinking of Rivers<br/>Contract Farming<br/>Special Economic Zone (SEZ)<br/>Financial Institutions in India<br/>• Commercial Banks<br/>Direct Subscription<br/>Merchant Banking<br/>• Development Banks<br/>• Industrial Development Bank of India (IDBI)<br/>Industrial Credit and Investment Corporation of India (ICICI)<br/>• Financial Resources<br/>• Share Capital<br/>• Reserves<br/>• Borrowings<br/>• Public Deposits<br/>n  Business Operations<br/>• Lending Operations<br/>n  Capital Market Operations<br/>n  Technology Development and Information Company of India (TDCI)<br/>n  Merger of ICICI with ICICI Bank<br/>n  Industrial Finance Corporation of India (IFCI)<br/>• Financial Resources<br/>• Share Premium Account<br/>• Business Activities<br/>n  The Importance of financial institutions<br/>n  Specialized Financial Institutions<br/>n  Investment Institutions<br/>n  Questions<br/>UNIT 2: FINANCIAL MARKETS IN INDIA<br/>n  Introduction<br/>n  A Money Market<br/>• Definition of Money Market °<br/>n  Characteristics of Money Market<br/>n  The Need for a Money Market<br/>• The Goals of Money Market Investor<br/>n  Capital Market<br/>• Definitions<br/>n  Nature and Constituents<br/>n  The Growth of the Capital Market<br/>n  Components of the Capital Market<br/>n  Public Issue<br/>n  Rights Issue<br/>n  Objects of Section 81<br/>n  Exceptions to the Rule (Section 81)<br/>n  Announcement of Right Offer<br/>n  Mailing of Forms<br/>n  Conversion Ratio<br/>n  Conversion Value<br/>n  The Effects of Rights on Shareholders<br/>n  Advantages of Right Issue<br/>n  Disadvantages<br/>n  Recent Developments in the Market<br/>• Origination<br/>• Underwriting<br/>• Distribution<br/>Mechanics of Floating New Issues<br/>• Public Issue<br/>• Offer for Sale<br/>• Private Placement<br/>Features<br/>Public Issue Process<br/>I. Pre-Issue Activities<br/>II. Post-Issue Activities<br/>Secondary Market<br/>Definitions<br/>Functions of Stock Exchange<br/>Classification of Securities Listed in Stock Exchange<br/>• Group-A Securities<br/>• Group-B Shares<br/>• Permitted Shares<br/>• Cleared Securities<br/>• Non-cleared Securities<br/>Derivatives Trading<br/>• Definition of Derivatives<br/>• Functions of Derivatives<br/>• Major Players of Derivatives<br/>Derivative Risks<br/>Advantages of Derivatives Markets<br/>Components of Derivatives<br/>Futures<br/>• Definition<br/>• Characteristics of Futures<br/>• Objectives of Future Contracts<br/>• Tj^pes of Futures Contract<br/>- Ready Delivery Contract<br/>- Forward Contract<br/>• Kinds of Futures<br/>- Commodity Futures<br/>MCX Fact Sheet<br/>Financial Futures<br/>• Interest Rate Futures<br/>• Currency Futures<br/>• Stock Index Futures<br/>Options<br/>• Characteristics of Options<br/>• Kinds of Options<br/>Swap<br/>Warrants<br/>• Convertible Debentures<br/>• Objectives of Convertible Debentures<br/>• Features<br/>Credit Derivatives<br/>Swaptions<br/>The Bombay Stock Exchange<br/>The Growth of Bombay Stock Exchange<br/>Boh<br/>Listing<br/>• Minimum Listing Requirements for New Companies<br/>• Minimum Listing Requirements for Companies Already Listed on<br/>Other Stock Exchanges<br/>• Minimum Requirements for Companies Delisted by BSE Seeking<br/>Relisting on BSE<br/>• Permission to Use the Name of BSE in an Issuer Company's<br/>Prospectus<br/>• Submission of Letter of Application<br/>• Allotment of Securities<br/>Trading Permission<br/>• Requirement of 1 per cent Security<br/>• Payment of Listing Fee<br/>• Compliance with the Listing Agreement<br/>• Cash Management Services (CMS)<br/>Trading<br/>• Timing<br/>• Groups<br/>Listed Securities<br/>Permitted Securities<br/>Tick Size<br/>Computation of Closing Price of Scrips<br/>Basket Trading System<br/>Settlements<br/>• Compulsory Rolling Settlement<br/>• Day Activity<br/>Demat Pay-hi<br/>Auto Delivery Facility<br/>• Pay-in of Securities in Physical Form<br/>• Funds Pay-in<br/>• Securities Pay-out<br/>• Funds Pay-out<br/>• Penalty Norms<br/>• Shortages<br/>• Auctions<br/>• Self-Auction<br/>• Close-out<br/>• Rectification of Bad Deliveries<br/>• Patawat (Settlement) Objections<br/>Company Objections<br/>• Bulk Deals Disclosures in the Cash Segment<br/>• Block Deals Disclosures in the Cash Segment<br/>• Total Liquid Assets<br/>• Base Minimum Capital (BMC)<br/>• Additional Capital<br/>• Liquidity Categorization of Securities<br/>• Monthly Review<br/>• Categorization of Newly-listed Securities<br/>• Calculation of Mean Impact Cost<br/>• Dissemination of Information<br/>• Margins<br/>• Collection of VaR Margin<br/>• Special Margin<br/>• Mark-to-Market Margin (MTM)<br/>• Collection and Release of Margins<br/>• VaR Margin<br/>• Extreme Loss Margin (ELM)<br/>• Mark-to-Market Margin (MTM) °<br/>• Special Margins<br/>• Release of Margins<br/>• Exemption from Payment of Margins<br/>• Early Pay-in Facility<br/>• Capital Cushion Requirements<br/>Monitoring Business of Brokers<br/>• BOLT Deactivation<br/>• Brokers', Contingency Fund<br/>• Trade Guarantee Fund<br/>• Trade Guarantee Fund —GSEC Segment<br/>Investors' Grievances<br/>Investors' grievance against listed company<br/>Visit of Registrar and Transfer Agent to BSE<br/>Investors' Grievances Against BSE's Trading Members<br/>Bombay Stock Exchange Limited Rules, Bye-Laws and Regulation, 1957,<br/>Preliminary<br/>Rules Title<br/>Constitution and Objects<br/>• Constitution<br/>• Objects<br/>• Buildings<br/>• Acquisition of Property<br/>• Safe Deposit Vaults<br/>• Borrowing of Monies<br/>• Payments and Disbursements<br/>• Subscriptions<br/>• Clearing House<br/>Licenses and Privileges<br/>• Information and Publications<br/>• Membership of other Bodies<br/>• Rules of the Derivatives Segment of Bombay Stock Exchange<br/>Limited (30th April, 2009)<br/>• Incidental Powers<br/>Rules of the Derivatives Segment of the Stock Exchange, Mumbai,<br/>Preliminary<br/>• Rules and Bye-laws made under SCRA<br/>• Title<br/>• Commencement<br/>• Scope<br/>• Jurisdiction<br/>Rules<br/>Chapter I - Definitions<br/>Checklist for Submitting Documents for Sub-broker Registration by<br/>Individual/Partnership/Corporate Applicant<br/>BSE<br/>• Top 10 Sundry Debtors<br/>• Top 10 Customers in the preceding 3 Financial Years<br/>• Top 10 Sundry Creditors<br/>• Investments made by the Company<br/>• Status of Income Tax of Company, its Promoters and all Directors,<br/>for the Preceding 5 Assessment Years (and of such Past Years<br/>where Assessment has not been Completed)<br/>• Defaults with Stock Exchanges/Regulators<br/>• Defaults in Payment of Interest/Principal<br/>• Compliances at Stock Exchanges<br/>• Disciplinary Actions/Litigation/Defaults (include the following,<br/>whether in India or Abroad)<br/>Shareholding Disclosure Forms: Guidelines for Filling the Shareholding<br/>Disclosure Forms<br/>Shareholding Pattern Summary<br/>Broad Summary of Holdings<br/>• Total Domestic Holding<br/>BSE's Certification for Derivatives Exchange (BCDE) Examination<br/>• Model Test Paper for BCDE<br/>Bombay Stock Exchange Limited<br/>Chief General Manager Market Regulation Department<br/>• Ab^ut Public Issues<br/>• Book Bi/ilding<br/>• The' Projcess<br/>• Guidelines for Book Building<br/>• BSE's Book Building Systenm<br/>• Benefits of Listing<br/>• Reverse Book Building—Glossary<br/>Guidelines for Listing<br/>• Minimum Listing Requirements for New Companies<br/>• Minimum Listing Requirements for Companies already Listed on<br/>Other Stock Exchanges<br/>• Minimum Requirements for Companies Delisted by BSE Seeking<br/>Relisting on BSE<br/>• Permission to Use the Name of BSE in an Issuer Company's<br/>Prospectus<br/>• Submission of Letter of Application<br/>• Allotment of Securities<br/>• Trading Permission<br/>• Requirement of 1 per cent Security<br/>• Payment of Listing Fees o<br/>Schedule of Listing Fees for the Year 2010-11<br/>Applicability<br/>• Payment Date<br/>• ' Service Tax<br/>• Compliance with the Listing'Agreement<br/>• Cash Management Services (CMS)-Collection of Listing Fees<br/>SENSEX—The Barometer of Indian Capital Markets<br/>Key Statistics (Jan 2010-Apr 2010, May 2010-Aug 2010)<br/>Key Statistics (Jan 2010-Apr 2010, May 2010-Aug 2010)<br/>Key Statistics (Jan 2010-Apr 2010, May 2010-Aug 2010)<br/>Guide for Investors<br/>Introduction<br/>Department of Investor Services<br/>Safeguards for Investors<br/>• Selecting a Broker/Sub-Broker<br/>• Entering into an Agreement<br/>• Transacting<br/>• Settlement<br/>Rights of Investors<br/>f Jurisdiction of Courts<br/>General DO's and DON'Ts for Investors<br/>• DO's<br/>• DON'Ts<br/>Brokerage and '^^amp Duty<br/>Investor Awareness and Education<br/>Reverse Book Building—Historical Information<br/>• Reserve Position<br/>Dealings on the Exchange<br/>• Business Days<br/>• Exception<br/>• Alteration or Cancellation of Exchange Holidays<br/>• Closure of Market<br/>• Altering Time of Trading Session<br/>• Over-the-counter Business<br/>• Trading Sessions outside Prescribed Hours and Street Trading<br/>Forbidden<br/>• Who May be Admitted<br/>• Who May Not be Admitted<br/>• Regulation<br/>• Visitors<br/>• Admission to the Floor of the Exchange<br/>• Admission during Good Behaviour<br/>• Management on the Floor of the Exchange<br/>• Unit of Trading<br/>• Odd Lots<br/>• Variations in Bids and Offers<br/>• Quotations<br/>• Marking When Expunged<br/>• Daily Official List<br/>• Dealing in Securities<br/>• Governing Board may Prohibit Dealings<br/>• Government Securities<br/>• Securities (other than Government Securities)<br/>• Dealings in Provisional Documents<br/>National Stock Exchange<br/>• Mission<br/>• Promoters<br/>• Structure<br/>• Capital Market Segment<br/>• Clearing and Settlement<br/>• Derivatives (F&O) Segment<br/>• Currency Derivatives Segment<br/>Wholesale Debt Segment<br/>National Stock Exchange of India Limited<br/>National Stock Exchange Of India Limited<br/>Bye-Laws<br/>Arrangement of Chapters<br/>• Definitions<br/>Chapter I<br/>Trading Segments<br/>Chapter II<br/>Executive Committee<br/>Indices<br/>• Index Funds<br/>• Index Futures<br/>• Index Options<br/>Mutual Fund<br/>• Mutual Fund Services Systems<br/>• Ordered Placing<br/>• Confirmation of Order<br/>• Eligibility Criteria for Members<br/>• Eligibility of Criteria<br/>- Individuals (Sole Proprietor)<br/>- Partnership Firms<br/>- Corporations, Companies or Instihitions<br/>- Professional Clearing<br/>- Banks<br/>- Other Applicable Eligibility Criteria<br/>- Who Cannot Become a Member?<br/>Admission of a New Member in NSE °<br/>Recent Developments<br/>National Stock Exchange and London Stock Exchange<br/>Group Sign Letter of Intent<br/>National Securities Clearing Corporation Ltd.<br/>• Partners<br/>Securities and Exchange Board of India<br/>• Objectives of the SEBI<br/>• Delegation of Powers<br/>• Powers to Make Rules<br/>• Powers of Making Regulations<br/>• Organisation of the SEBI<br/>Licensing Authority<br/>Primary Markets<br/>Secondary Market<br/>Factors to be Considered for Investment in Primary Market<br/>SEBI Guidelines<br/>Reforms in the Primary Market<br/>The Gazette of India Extraordinary<br/>The Gazette of India Extraordinary<br/>The Gazette of India Extraordinary<br/>Securities and Exchange Board of India<br/>• Definitions<br/>• Transactions in Shares<br/>• Members not to Hear or Decide in Certain Cases<br/>• Availing Services of Intermediaries<br/>• Acceptance of Gifts<br/>• Procedure for Managing the Conflict<br/>• Maintenance of Disclosures /<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinary<br/>• Objective<br/>• Background<br/>• Proposals<br/>n  The Gazette of India Extraordinary<br/>n  The Gazette of India Extraordinaiy<br/>n  The Gazette of India Extraordinary<br/>• Proposed SEBI (Issue of Capital and Disclosure Requirements)<br/>Regulations, 2009<br/>• Background "<br/>• Approach<br/>• Proposals<br/>n  Securities and Exchange Board of India<br/>n  Consultative Paper<br/>• Background<br/>• Proposal<br/>• Fees and Charges<br/>• Public Comments<br/>n  Questions<br/>UNIT 3: Financial Services<br/>n  The Objectives of the Financial Services<br/>n  Factoring and Forfeiting<br/>• Factoring<br/>• Forfeiting<br/>• Bills Discounting<br/>• Advantages<br/>n  Insurance<br/>• Life Insurance Corporation of India (LIC)<br/>• General Insurance Corporation<br/>n  Unit Trust of India<br/>• Management<br/>• Tax Benefits<br/>Hire Purchase<br/>• Hire Purchase Agreement<br/>• Regulation Frameworks<br/>• Provision of Contract Act<br/>• Sale of Goods Act<br/>Consumer Finance<br/>Commercial Paper<br/>• Features of the Commercial Papers<br/>• Issue Procedure<br/>• Indian Context<br/>Credit Rating<br/>• Introduction<br/>• Types of Credit Rating<br/>• Limitations of Ratings<br/>• Scope of Credit Rating<br/>• Objectives of the Credit Rating<br/>• Credit Rating Process<br/>• Credit Rating Agencies in India<br/>• CRISIL<br/>• Investment Information and Credit Rating Agency of India (ICRA)<br/>• Credit Analysis and Research Ltd. (CARE)<br/>• Long-Term and Medium-Term Instruments<br/>• Short-Term Instruments<br/>• Credit Analysis Rating<br/>• Summary<br/>Credit Cards<br/>• Process of Credit Card Business Cycle<br/>• Benefits of Credit Card<br/>• Privileges/Additional Facilities<br/>• Types of Credit Cards<br/>• Credit Cards in India<br/>• Modem Trends in the Payment Business<br/>• ATM<br/>Housing Finance<br/>© Institutional Framework<br/>© Objectives and Business<br/>• Housing Finance Scheme<br/>• Regulation of Deposits by NHB<br/>• Share Capital<br/>• Refinancing<br/>• NHB Guidelines<br/>• Taxation of HFCs<br/>• HDFC Schemes<br/>• Lie Housing Schemes<br/>• GIC Housing Finance<br/>• CAN Financial Homes Ltd.<br/>• SBI Home Finance<br/>• Commercial Bank Scheme<br/>• Housing and Urban Development Corporation<br/>• State Housing Finance Societies<br/>Mutual Funds<br/>• Registration of the Trust Deed<br/>• Rights and Obligations of Trustees<br/>Leasing<br/>• Legal and Tax aspects of Leasing<br/>• Income Tax<br/>• Tax Aspects for Lessor<br/>• Tax Considerations for Lessee<br/>• Lease Rentals<br/>Questions 
<br/><br/><label>ISBN: </label>9788180698248 
<br/><br/><label>Dewey Class. No.: </label>332.004150954  / BAB/M