Institute Committed forSafeguarding Interests of

Investors

Directly or Indirectly

Be it through FI, FII, VC, MF, Banks, Societies, or any other

mode

Capital comes from Savings of household Investors

Hence Investor Education and Protection is VITAL

Realising the Needs of Investors

SEBI and ICSI have taken number of initiatives

ICSI Initiatives for Capital Market

Role of Company Secretaries in Capital Market

Organising Investor Education Programmes

Establishment of Investor Clinic

Useful Information Material on Website of the Institute

Online Investor Grievance Software

Company Secretaries in Capital Market

Services Provided by Company Secretaries Securities Management and Compliances Corporate Governance for Capital Market

Intermediaries

CS Course has an exclusive paper on Securities Laws and Regulation of Capital Markets

Management Training in Stock Exchanges Intermediaries

Post Membership Qualification (PMQ) Course in Capital Market and Financial Services Corporate Governance

Investor Education Programmes Across India

Joint Programmes with UP Stock Exchange

– Lucknow– Kanpur

Joint Programmes with Delhi Stock Exchange

– Karnal– Panipat– Ambala– Chandigarh

Our Target

“To hold investor

education programmes in 60 Chapters of

ICSI across India by 31st March 2004”

ICSI Investors Clinics comprise of panel of Company Secretaries and are established at all our Regional Councils and major chapters.

Advice with respect to:- Transfer, transmission,

nomination of shares or other securities

- Rights of investors- Various forums available

for Redressal

• Providing standardised formats

• Organising Investor Education Programmes

• Publishing hand-books/ pamphlets

SERVICES TO INVESTORS

REGIONAL COUNCILS

• Chennai

• Delhi

• Kolkata

• Mumbai

CHAPTERS• Agra• Ahmedabad• Chandigarh• Faridabad• Gaziabad• Howrah• Indore• Patna• Pune• Ranchi• Vadodra

Accessing Investor Clinics

The details of Investor Clinics in available on the Website of Institute

www.icsi.edu

The Investors can approach Investor Clinics for guidance and advise regarding capital market, their rights, various procedures, etc.

www.icsi.edu

• Investor Clinics Details

• Useful Information for Investors

• Information about various programmes all over India

• Links to various authorities

Online Investor Grievance Software

Online InvestorGrievance Software

– Rights of investors on investment related queries and problems

– Appropriate regulatory authority to be approached for specific problems

– A directory of latest addresses of various regulators and capital market intermediaries

– Standardised formats of letters to be sent by investors

SEBI Road Ahead

Traversed with ICSI

Traversed with ICSIRoad Ahead for SEBICorporatisation and demutualisation of stock exchanges

Advisory Services Management/ governing expertise

Strengthening of corporate governance through evaluation of form and measurement of wealth creation, wealth management and wealth sharing

National Award for Excellence in Corporate GovernanceCorporate Governance Rating methodologyYardstick book on corporate governance Training for directors and members

Setting up of investor protection corporation

We have already set-up Investor Clinics Investor Grievance Model Software

Traversed with ICSIRoad Ahead for SEBIEducating investors about the securities market

Educating Through -Investor clinics-Organising Investor Education programmes-Creating awareness about new products such as derivatives, digital signature in securities transaction, etc-Designing investor friendly publications

Strengthening risk management system of corporates

AdvisorCompliance Officer

Improving the quality of intermediaries and corporate governance at intermediaries

Compliance Audit of IntermediariesTraining of intermediaries

Traversed with ICSIRoad Ahead for SEBIStrengthening regulatory transparency

Audit of disclosures under Listing AgreementSecretarial Standards

Creation of market intelligence network and strengthening surveillance and enforcement

Company Secretary himself acts as compliance officer of the company and ensures inbuilt surveillance and enforcement

Development of active corporate bond market

Investor awareness

Use of digital signatures in securities transactions

Training and education of Investors and intermediaries

Traversed with ICSIRoad Ahead for SEBIDevelopment of self regulatory organisations (SROs) in securities market

Knowledge SharingFormulating practices and procedures

We Traverse Together

Corporate Governance is at the Heart of Investment

Decisions

Company Secretaries are at the Heart of Corporate

Governance

Our Vision

“To be global leader in

development of professionals

specialising in

corporate governance”

”Corporate Governance is

the application of best management

practices, compliance of law in true

letter and spirit and adherence to

ethical standards for effective

management and distribution of wealth

and discharge of social responsibility

for sustainable development of all

stakeholders”

Corporate Governance for ICSI

ICSI Initiatives for Corporate Governance

ICSI National Award for Excellence in Corporate Governance

Professional Development Programmes

Member Trustee of National Foundation for Corporate Governance of Ministry of Finance

Introduction of PMQ Course in Corporate Governance

Formulating and issuing Secretarial Standards

Model Formats for Corporate Governance Reporting

Chartered Secretary Journal

ICSI Centre for Corporate Research and Training

ICSI NATIONAL AWARD

FOREXCELLENCE

INCORPORATE

GOVERNANCE

Promoting Good Governance In Indian Corporate Sector

Continuing Education Programmes

Regular Programmes– Conventions and

Conferences– Seminars and Workshops– Study Circle Meetings

Collaborative Programmes with

– Government and Regulators

– Industry Associations – Chambers of Commerce– Sister Professional Bodies

Special Programmes on: – Corporate Governance– Capital Markets– Securities Laws– Central Listing Authority– Compliance of Listing

Agreement– Compliances by

Intermediaries– E-IPO– Simultaneous Listing– EDIFAR– Online Filing and Digital

Signature– Take Over Code– Insider Trading– Merger – Demerger– Buy Back and Delisting– Depository Participant

PMQ Course in Corporate GovernanceObjecti

ves“To provide

expert knowledge

to understand, analyse and

apply the principles

and practices of

Good Corporate

Governance in real life

situations .“

Course CoveragePaper 1

Conceptual Framework of Corporate Governance

Paper 2Corporate and Board Management

Paper 3Legal and Regulatory Framework of

Corporate GovernancePaper 4

Board Committees and Role of Professionals

Paper 5Corporate Governance - Codes and

PracticesDissertation/ Project Report

Formulating and Issuing Secretarial Standards

Objective: “To integrate, harmonise, and standardise the diverse secretarial practices for good corporate governance.”

Secretarial Standards are developed:

• in a transparent manner• after extensive research• after taking views of

corporates, regulators and the public at large

Secretarial Standards issued by the ICSI:

• SS-1 Meetings of the Board of Directors

• SS-2 General Meetings• SS-3 Dividend

Guidance Note on Passing of Resolution by Postal Ballot

ICSI is the only professional body in the world to issue Secretarial Standards

Model Formats for Corporate Governance Reporting – Better Information to Investors

• Original research covering 1700 companies

• Covering best practices and formats for better Corporate Governance

Chartered Secretary Journal

Containing• Articles on

-Corporate Governance -Capital Market-Corporate Laws-Management

• Useful Information for Investors

• Information about various programmes all over India

• Case laws and Notifications

ICSI Centre for Corporate Research and Training (ICSI-CCRT)

Mission: “A Centre to create a core of excellent corporate professionals for corporate excellence and contribute to the emergence of India as an economic superpower.”

RESEARCH in following areas:

• Corporate Governance• Corporate Laws• Management• Capital Markets• Intellectual Property Laws• International Business• Arbitration and ADRs

INFRASTRUCTURE:• Situated at Navi Mumbai• 180 capacity hall with latest

equipments• Two 50 Seat Conference Halls • Six Classrooms• Two Computer Labs & Library• Residential Wing - 22 Room

with AC

Finally, ICSI stands for

Institute Committed forSafeguarding Interests of Investors