Regd. Office : Exchange Plaza, BandraKurlaComplex, Bandra (E), Mumbai 400 051 Page 1 of 1

NATIONAL STOCK EXCHANGE OF INDIA LIMITED

DEPARTMENT : SBU - EDUCATION

NCFM COURSE OUTLINE

COMPLIANCE OFFICERS (CORPORATES) MODULE

Incorporation of a company, Prospectus, Allotment and issue of shares, Share capital and debentures, Management and Administration, Winding up.. 27 Marks

Securities Contracts (Regulations) Act, 1956 . 12 Marks

Definitions, Listing of Securities, Penalties and procedure, Miscellaneous.

Depositories Act, 1996 .. .. 11 Marks

Definitions, Rights and obligations of depositories, participants, issuers and beneficial

owners, Enquiry and inspection, Penalty, Miscellaneous.

Provisions under Securities and Exchange Board of India ( Substantial

Acquisition of Shares and Takeovers ) Regulations, 2011 .. 4 Marks

Applicability if the Regulation, Substantial Acquisition of Shares, voting rights or

control, Open offer process, Other obligations, Disclosures of shareholding and control,

Miscellaneous.

SEBI Issue of Capital and Disclosure Requirements (ICDR) Regulations 2009

... 30 Marks.

ESOS guidelines as per SEBI (ESOS and ESPS) Guidelines, 2000 . 4 Marks

Compliance with the provisions of the listing agreement .... 12 Marks

Clause 49 of listing agreement for Corporate Governance, Clause 41 of listing

agreement for limited information, Clause 36 of listing agreement for Disclosure of

Material Information. For additional information, kindly look into the clause 16, 35, and

40(A) of the listing agreement.

Compliance with book building guidelines for raising of funds through public issue.

Knowledge of SEBI guidelines related with raising fund through debt instruments.