Revised Regulatory Capital Framework for Banks in line with Basel III.pdf
Presentation On Capital Market Regulatory Framework
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Transcript of Presentation On Capital Market Regulatory Framework
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Presentation On Capital Market Regulatory Framework
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Farhad AhmedExecutive DirectorSecurities & Exchange Commission
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Capital Market
Market for long term fund where securities maturity of which is over one year is traded. Security includes- shares, debentures, bonds etc. There are two segments of capital market viz. primary market and secondary market
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Regulatory Framework of Securities Market
Regulatory framework refers to the framework by which capital market is run, regulated and controlled. Regulatory framework could be divided into:
Legal Framework; Institutional Framework.
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Legal Framework of Securities Market
Law passed by the Parliament; Rules issued by the Commission; Regulations and Bye-laws issued by the
stock exchanges and depository company
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Order of Precedence of Securities Laws
Regulations Issued by the ExchangesRules framed by the CommissionDirection given by the Commission
Conditions Imposed by the Commission Laws Enacted by the Parliament/Ordinance
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Securities Laws
The basic laws that cover the securities market are:Securities and Exchange Ordinance, 1969;Securities and Exchange Commission Act, 1993;Depository Act, 1999
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Other Relevant Laws:
Companies Act, 1994Trust Act, 1882Insurance Act, 1938Bank Company Act, 1991Financial Institutions Act, 1993Anti Money Laundering Act, 2002
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Rules framed by the CommissionPublic Issue Rules, 2006
Rights Issue Rules, 2006
Mutual Fund Rules, 2001
Broker/Dealer & AR Rules, 2000
Issue of Capital Rules, 2001
Credit Rating Rules, 1996Margin Rules, 1998
Merger & Acquisition Rules, 2002
Over -The-Counter Rules , 2001
Insiders Trading Prohibition Rules ’95
Depository Regulation 2000
Merchant Banker & Portfolio Mang. Rules ‘96
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Regulation framed by the ExchangesListing Regulations, 1996
Settlement of Stock Exchange Transactions Regulations, 1998
Short Sale Regulations, 2006
Board & Administration Regulations, 2006
Internet Trading RegulationsDirect Listing Regulations, 2006
Stock Exchange Bye Laws
Automated Trading Regulations, 1999
Investors Protection Funds Regulations, 1999
Memorandum & Articles of Association
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Guiding Laws for CDBL
The Depositories Act 1999;Depositories Regulations 2000;Depository (User) Regulations 2003; andThe CDBL Bye Laws.
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Institutional Framework
Securities and Exchange Commission; Stock Exchanges;
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Institutional Framework
Stock Exchanges as SROSecurities & Exchange Commission
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Securities and Exchange Commission Established in 1993; Regulator of Capital Market; Administers Securities Laws; Have Executive, Quasi Judicial Authority;
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Mission of the Commission Proper Issuance of Securities; Protection of investor; Regulation of securities market; Development of securities market.
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THANK YOU