Security & Investment Law: Course Details, Eligibility, Exams

Common Law Admission Test (CLAT) - PG

All India Law Entrance Test (AILET) - PG

Law School Admission Test – India (LSAT India)

UPES Law School Admission Test 

Maharashtra-Common Entrance Test in Law 

• Foreign Exchange Management,  Insurance and Risk Management
• Corporate Accounting, Law of Evidence, Business Computing, Securities and Exchange Board of India (SEBI)
• Reserve Bank of India (RBI), Insurance Regulatory and Development Authority of India (IRDAI)
• Competition Commission of India (CCI), and Pension Fund Regulatory and Development Authority (PFRDA)
• Constitutional law, criminal law and international law

• Regulatory frameworks governing international trade and investment relations
• Role of international economic law, international trade economics interacts
• Domestic investment law, cross-border investment law, 

• Research Methods, Law and Justice in a Globalized World
• Comparative Public Law and Governance, An Overview of Securities Markets, Company Law
• Securities Regulations, Competition Law and Policy, Banking and Insurance, Investment Laws
• Foreign investment Laws ( FEMA Act, 1999, Joint venture, Foreign collaboration)
• Law of Insolvency and Bankruptcy, Securities Operations and Risk Management
• Depository Operations,  Mutual Fund Foundation, Equity Derivatives

• Introduction to Capital Markets - Financial System in India, Introduction to Security Laws, Classification of Security Laws, Intermediaries & their functioning. 
• Introduction of Companies Act 2013 - Types of Companies, Essential Documents- Memorandum & Articles of Association, Important Definitions
• Issue of Capital - Types of Capital, Issue of Capital, Initial Public Offerings ( Sebi – ICDR Regulations), Preferential Allotments, QIB Placements, GDRs, Offer for Sale (OFS) and Offer to Buy (OTB)
• Financial Statement Analysis - Understanding Financial Statements, Ratio Analysis, Startup Funding - Private Equity & Venture Capital Funding, Structuring of Deals
• Salient Features of Shareholder’s Agreements, Business Valuations - Concept of Valuation, Cost of Capital, Risk Adjusted Returns, Discounted Cash Flow Method of Valuation of Business Entities
• SEBI - Preamble of SEBI, Constitution of Board, Powers of SEBI, Penalties for violation of SEBI Act
• Securities Contract Act Regulations - Regulation of Stock Exchanges, Rules & By Laws, Consequences of violations, 
• Insider Trading - Mechanism, Penalties, Prosecution, Code of Conduct including Trade Clearances
• Anti-money laundering - Salient Features of PMLA,Mechanism of Money Laundering ( Colouring & layering), Obligations of Intermediaries
• Management of Companies, Corporate Governance, Post-Issue Compliances, Salient Features of SEBI (LODR) Regulations, Fraudulent and Manipulative Practices in Stock Markets - Market Surveillance System, Penalties & Prosecutions
• Structure of Banking Industry in India - Central Bank – RBI, Salient features of Banking Regulation Act, Commercial Banks & NBFCs, Trade Finance
• Non-Performing Assets, Salient Features of SARFASIE Act, IBC – Corporate Insolvency Resolution Process, IBC – Corporate Insolvency Resolution Process, IBC – Liquidation process, Waterfall conditions
• M&A- Concept of Business Combinations, Vertical Integration, Horizontal Integration, Leveraged Buyouts, Deal Structuring- Swap Ratios, Demergers, Joint Ventures & SPV, Legal Compliances- approval from NCLT
• Takeover Code, Competition Act - Competition Commission of India, Anti-Competitive Agreements- Dominant position, Cartelization, Business Combinations requiring clearance from Competition of India
• Mutual Funds - Structure of Mutual Funds, NAV / Expense Ratios, Classification of Mutual Funds as per SEBI Regulations, Analysis of Mutual Funds
• Futures and Options, Intellectual Property Rights, International Trade, Foreign Trade Policy, FEMA, Taxation of Capital Market Instruments, Cross-Border Transactions, Double Taxation Avoidance Agreements
• Foreign Exchange Risk Management, Litigations -  Adjudications under SEBI Act, Appeals, Investigations by Enforcement Directorate, Investigations by SFIO, Prosecution, Arrest and Bail provisions

• Legal and Regulatory Framework, Securities Contracts (Regulation) Act, 1956
• SEBI Act, 1992; Depositories Act, 1996; authorities governing capital markets; objective, power and functions of SEBI
• Securities Appellate Tribunal, appearance before SAT, Profile of securities market, Capital market instruments, Primary market and secondary market intermediaries,  debenture- trustees, foreign Institutional investors
• Functions and significance of stock exchanges; regulatory framework; operations and trading mechanism of stock exchanges; Settlement of securities, surveillance mechanism at stock exchanges, straight through processing, demutualisation of stock exchanges
• Mutual Funds, Trustee and Asset Management Company, Venture Capital, Collective Investment Schemes
• Buy-Back of Securities, Depository System, Issue of Capital, Resource Mobilisation in International Capital Market, Indian Depository Receipts.

Lawyer

In this job profile, one needs to advise and represent clients in civil as well as criminal cases. Lawyers present cases in the court of law and take part in all proceedings and hearings.

Solicitor

In such a job profile an individual usually specializes in a specific area of law like tax, litigation, family or property. Solicitors offer legal advice to private as well as commercial clients.

Advocate

In such a job profile one needs to do a lot of research work to gather factual data as well as physical evidence to support their claim. Apart from this, other responsibilities allocated to advocates include scrutinizing and drafting contracts.

Legal Advisor

Candidates opting to work in such a job profile are also lawyers who specialize in a specific field of law. Legal advisors are usually hired by governments as well as large organizations/ companies. The main task of a legal advisor is to protect their clients from any legal implication or consequence.

Teacher or Lecturer

After completing the Security and Investment Law course, candidates can also teach law at the college or university level.