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Financial Market Regulations Course BL905.8

The document outlines the B.A., LL.B. (Hons.) FYIC program at the National Law University and Judicial Academy, Assam, focusing on the course BL905.8, which covers financial market regulations and institutions. It details course objectives, teaching methodology, learning outcomes, evaluation methods, and the structure of the course, emphasizing the importance of understanding India's financial system and regulations. The course aims to equip students with analytical skills and knowledge of financial laws and instruments through a mix of traditional and participatory teaching methods.

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Satish Chandra Chitrapu
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21 views5 pages

Financial Market Regulations Course BL905.8

The document outlines the B.A., LL.B. (Hons.) FYIC program at the National Law University and Judicial Academy, Assam, focusing on the course BL905.8, which covers financial market regulations and institutions. It details course objectives, teaching methodology, learning outcomes, evaluation methods, and the structure of the course, emphasizing the importance of understanding India's financial system and regulations. The course aims to equip students with analytical skills and knowledge of financial laws and instruments through a mix of traditional and participatory teaching methods.

Uploaded by

Satish Chandra Chitrapu
Copyright
© All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd

national law university and judicial academy, assam

programme: b.a.,ll.b. (hons.) fyic

details of course offered

odd semester (ix)– academic year ………………

sl. course course title l t/p cr ch


no code

1 BL905.8 financial 4 1 4
Business market
per per
Law, regulations
week week
S.p. group and
Paper- v institutions

a. code and title of the course: BL905.8,business law,

specialization group paper-v,

financial market regulations and institutions

b. course credit: 4 (total marks 200)

c. medium of instruction: english

d. course compiled by: ankur madhia

e. course edited by: ankur madhia

f. course instructor: ankur madhia


1. Course Objectives:

The course has been introduced understanding the basic facets and importance of
functioning of financial markets in India. This law course strives to develop
student’s analytical skills and present the paper as a subject through which the
student will understand and will gain insight of deregulation and globalization of
financial markets. The best means to promote such objectives is to provide a
classroom environment where the professor and students engage in a dialogue about
assigned cases and hypothetical problems. The course would provide a
comprehensive introduction to the functioning of financial markets in the present
scenario. This course will equip the students with tools and technical apparatus
necessary to analyze modern literature on financial markets and financial
institutions

Course Objectives

1. To discuss with students the financial system and economy of India


2. To familiarise students with the reforms in the financial system in India and
development of Financial Institutions and Instruments.
3. To introduce to the students Foreign Capital Flows, FDI and NBFC’s.
4. To make the students understand the importance of regulating and promoting
institution like RBI, SEBI for the purpose of regulation in investment market.

2. Teaching Methodology:
The method adopted for teaching is mixed method including regular classroom
teaching. The methodology not only comprise of traditional lecture method but also
participatory teaching with discussion in the classroom. The students are informed
in advance the topic for discussion and the topic of project / assignment they have
to prepare. The students prepare their topics from the sources suggested to them.
The students are also encouraged to do independent research on their respective
assignments. In the classroom every student is required to present his/her topic and
to have his/her doubt cleared through discussion. The teacher will be helping and
guiding the students in their pursuits of legal learning. The teacher summarizes after
the students have completed their discussion, and he clarifies the doubts, if any, and
answer their queries. Students will be encouraged to watch videos and updates
related to the subject.

3. Course Learning Outcomes


A student will have an integrated understanding of various regulations and laws related to
Financial system and economy of India At the end of the course the students will be able
to understand and will be equipped with the knowledge and rationale behind laws and
instruments relating to investment and finance. Also students will comprehend law on
finance and the contractual aspects relating to it.

4. Course Evaluation Method:


The course evaluation is divided into:
Internal Assessment: 70% (140 Marks)
Semester End Examination: 30% (60 Marks)

Sl. Marks Distribution


No.
1 Project Work 40 marks

2 Seminar/Group Discussion 20 marks

3 Assignment/Assessment 30 marks

4 Mid-Semester Test 40 marks

5 Attendance in class 10 marks

6 Semester End Examination 60 marks

5. Detailed Structure of The Course

MODULE I
Introduction to Financial System
Introduction of financial System- financial system and economy, Reforms in the
financial system, Role of Indian financial system-structure of financial system,
nature and role of financial system.
MODULE II
Financial Markets
the place of financial markets in the economy-real assets and financial assets,
money market, capital market, primary market, secondary market, government
securities market, foreign exchange market, debt market, and derivative market.

MODULE III
Development of Financial Institution and Instrument
New financial instrument, evolution of development bank, changing role of
development financial institution, banking and non-banking institution, Commercial
banks, co-operative bank, mutual funds, insurance companies, and financial
regulation.

MODULE IV
Regulatory and Promotional Institutions
RBI, SEBI, the purpose of regulation, levels of regulations. Non-Bank Financial
Intermediaries and Statutory Financial Organization- Small saving, Provident funds,
and pension funds Foreign Capital Flows-Types of foreign capital Uses and
determinants of foreign capital, Foreign Direct Investment (FDI),
Foreign Portfolio Investment.

6. Prescribed Readings:
• L.M. Bhole, Financial Institutions and Markets: Structure, Growth and
Innovation, Tata McGraw Hill Publishing Company Limited, New Delhi, 2009
• Bharati. V. Pathak, Indian Financial System, Pearson Education in South Asia
Publishing Company, New Delhi, 2006
• V.A Avadhani, Financial Economics: Theory and Practice, Financial
Economics: Theory and Practice
• H.J. Johnson, Financial Institutions and Markets, Tata McGraw Hill Publishing
Company Limited, NY,1993
Case Law Reporter/Journals:

• Journal of International Financial Markets, Institutions & Money


• Journal of Risk and Financial Management

• Financial Markets, Institutions & Instruments


• Securities and Exchange Board of India
• ICSID Review
• ICSID Review - Foreign Investment Law Journal
• The Journal of World Investment & Trade (JWIT)
• Asian International Arbitration Journal
• North Western Journal of International Law & Business
• India Business Law Journal
• Company Cases published by Company Law Institute of India Pvt Ltd, Madras
• Company Law Journal published by L.M Sharma (Editor ) Company Law
• Corporate Law Advisor
• Taxman’s Corporate Professional Today
• Company Law Digest (1913-2009) [Taxmann Allied Services (P) Ltd, New
Delhi ]

Common questions

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Foreign capital flows, including Foreign Direct Investment (FDI) and Foreign Portfolio Investment, are covered to highlight their uses, determinants, and significance in shaping financial markets. This helps students understand the impact of foreign capital on the economy and the regulatory framework governing it .

The primary objective of the course is to provide an understanding of the basic facets and importance of the functioning of financial markets in India. It aims to develop students' analytical skills and offer insights into the deregulation and globalization of financial markets .

By combining lectures with interactive discussions and independent research, the mixed teaching method actively engages students. It promotes deeper comprehension of subject matter, critical thinking, and application of theoretical knowledge to practical situations, which enhances overall learning outcomes .

Prescribed readings and resources, such as texts by L.M. Bhole and Bharati V. Pathak, along with journals like the Journal of International Financial Markets, provide foundational knowledge and current insights into financial systems. These resources support deeper understanding of theoretical concepts and current market practices .

The internal assessment is structured to contribute 70% to the total course evaluation, comprising project work (40 marks), seminar/group discussions (20 marks), assignments (30 marks), and a mid-semester test (40 marks). Attendance in class contributes an additional 10 marks .

Regulatory bodies such as the Reserve Bank of India (RBI) and the Securities and Exchange Board of India (SEBI) are crucial in regulating and promoting the financial markets. Their roles include the regulation of investment markets, ensuring market integrity, consumer protection, and fostering financial stability .

The key modules include an introduction to the financial system, including its role and reforms; financial markets (money, capital, primary, secondary, government securities, foreign exchange, debt, and derivative markets); development of financial institutions and instruments; and the roles of regulatory and promotional institutions like RBI and SEBI .

The course aims to provide students with an integrated understanding of various regulations and laws related to India's financial system and economy. It equips them with knowledge and rationale behind laws and instruments relating to investment and finance, as well as contract law aspects .

The teaching methodology combines traditional lectures with participatory teaching methods, including classroom discussions where students prepare topics in advance from suggested sources. This approach encourages independent research and topic presentation, followed by class discussions to clarify doubts .

Financial instruments play a key role as mechanisms for savings, investment, and risk management. The course covers their evolution and the changing role of financial institutions, emphasizing how instruments like bonds, stocks, and derivatives integrate into the economy and affect capital mobilization .

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