REGULATORS IN

INDIA

AUDITORS – CHARTERED ACCOUNTANTS

COMPTROLLER & AUDITOR GENERAL OF INDIA (CAG)

• AUDITS THE GOVERNMENT ENTITY & REPORTS TO PARLIAMENT & PRSEDENT OF INIDA

BANKS

RESERVE BANK OF INDIA

BANKING STRUCTURE IN INDIA

CO-OPERATIVEBANK

RURAL BANK COMMERCIAL BANKS

FOREIGN BANKSDOMESTIC BANKS

NATIONALIZED BANK NON-NATIONALIZED BANKS

SHAREHOLDERS includesGOVERNMENT OF INDIA SCHEDULED

BANKNON

SCHEDULEDBANK

COMPANIES - ALL

• MINISTRY OF CORPORATE AFFAIRS

• REGISTRARS OF COMPANIES

21 ROCs in INDIA

LISTED COMPANIES

• Securities Exchange Board of India (SEBI)

• Stock Exchanges

COMPANY SECRETARIES

CREDIT RATING AGENCIES

SECURITIES AND EXCHANGE BOARD OF INDIA (CREDIT RATING AGENCIES) REGULATIONS, 1999

DEBEBTURE TRUSTEES:A debenture trustee means a trustee of a trust deed for securing any issue of debentures of a body corporate

WHO CAN BE A DEBENTURE TRUSTEE:– entity should either be a scheduled bank carrying on

commercial activity, a public financial institution, an insurance company, or a body corporate.

The entity should be registered with SEBI to act as a debenture trustee

SEBI (Debenture Trustees) Regulations

DEPOSITORIES & DEPOSITORIES PARTICIPANT

A depository is an organisation which holds securities (like shares, debentures, bonds, government

securities, mutual fund units etc.) of investors in electronic form at the request of the investors through a registered depository participant.

DEPOSITORIES PARTICIPANT

1.

2.

INVESTMENT CONSULTANTS

FOREIGN BROKERS

INVESTMENT BANKERS

INVESTOR ASSOCIATIONS

MUTUAL FUNDS & ASSET MANAGEMENT CO

PORTFOLIO MANAGERSPERSON WHO MAKES INVESTMENT DECISIONS USING MONEY OTHER PEOPLE HAVE

PLACED UNDER HIS OR HER CONTROL

PLANTATION COMPANIES• Companies which

raises money from public with objective to set up plantation of agricultural produce. E.g. Tea, Coffee, Coconut, Rubber, etc.

REGISTRAR & TRANSFER AGENTRegistrar or transfer agents are the trusts or institutions that register and maintain detailed records of the transactions of

investors for the convenience of mutual fund houses.

STOCK BROKER & SUB BROKERA stockbroker is a regulated professional individual, usually associated with a brokerage firm or broker dealer, who buys and sells stocks and other securities for both his clients, through a stock exchange in return for a fee or commission called as Brokerage.

STOCK EXCHANGES• Designated Stock Exchanges - NSE & BSE• Permanent stock exchanges - Ahemdabad Stx. ,NSE, BSE• Licenced Stock Exchanges - Gauhati, Bhubneswar, etc• Regional Stock Exchanges - Gauhati, Vadodara, etc

VENTURE CAPITAL FUNDAn investment fund that manages money from investors seeking

private equity stakes in start up and small- and medium-size enterprises with strong growth potential. These investments are generally characterized as high-risk/high-return opportunities.

MUTUAL FUND BROKERS/AGENTS

ASSOCIATION OF

MUTUAL FUNDS

IN INDIA

SECURITIESEXCHANGE

BOARD OF

INDIA

1. 2.

INSURANCE COMPANIES & BROKERS