Issuers Compliance

This module seeks to create a knowledge benchmark for Compliance officers of Listed Companies and also companies which are prepared to be listed on the stock exchanges. This course aims to enhance the knowledge of these Compliance Officers ensuring continuous updation.

Why should one enroll in this course?
  • Know the role and responsibilities of a Compliance Officer of a listed company
  • Understand the various avenues for the raising funds from the Indian and Global market and the various compliance requirements for the same.
  • Know the laws and regulations that need to be adhered to by a public company with respect to issues, corporate actions and day to day compliance requirements.
  • Know the various penalties for non-compliance with regulations and requirements as specified in various Regulations.
Who will benefit from this course?
  • Students who are interested in this subject
  • Bankers & its Employee’s
  • Teachers & Professionals
  • Employees of Stock Broking Company
  • Employees of Depository Participants
  • Employees of Merchant Bankers
  • Employees of Credit Rating Agencies
Course Details

Duration: 30 hours (15 days)

Fees: Rs. 15000/-

Refund of fees: Rs.5000/- if examination cleared in first attempt.

Second attempt for examination additional: Rs. 2100/-

Contents Of This Course

Day 1 – Introduction To Indian Capital Market
  • Capital Market Structure and Role of Capital Market
  • Regulatory Framework
Day 2 – Capital Market Regulations
  • SEBI Act, 1992
  • Companies Act 1956 & 2013
  • Securities Contracts Act 1956
  • SEBI Regulations 2015
  • Foreign Exchange Management Act 1999 (FEMA)
  • Prevention of Money Laundering Act 2002
  • The Competition Act 2002
  • SEBI (Issue of Capital & Disclosure Requirement) Regulation 2009
  • SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011
  • SEBI (Buy-Back of Securities) Regulations 1998
  • SEBI (Intermediaries) Regulations 2008
  • SEBI (Delisting of Equity Shares) Regulations 2009
  • SEBI (Share Based Employee Benefits) Regulations 2014
  • Depository Receipt Scheme 2014
  • SEBI (Issue to Sweat Equity) Regulations 2002
Day 3 – Compliance Officer
  • Appointment of a Compliance Officer
  • Role of Compliance Officer
  • Responsibilities of a Compliance Officer
  • Reporting Requirements
  • Fundamental and Technical Analysis
  • Fundamental Valuation Approaches
  • Investment and Speculation
  • Leveraging
Day 4 – Raising Capital From Market
  • Why Raise Money from the Market
  • Evolution of Public Issues
  • Method of Raising Money.
Day 5 – Role Of Compliance Officer In Ipo
  • Planning an IPO
  • General Obligations during Public Issue
  • Marketing the Issue
  • Application Supported by Blocked Amount (ASBA)
  • Allotment of Shares
  • Listing with Stock Exchanges
  • Post Issue Compliances
Day 6 – Role Of Compliance Officer In Other Public Issues
  • Further Public Offer (FPO)
  • Futures
  • Rights Issue
  • Bonus Issue
  • Employee Stock Option Plan (ESOP)
  • Sweat Equity
  • Private Placement
  • Indian Depository Receipts (IDR)
Day 7 – Raising Money From Foreign Markets
  • American Depository Receipts (ADRs / Global Depository Receipts (GDRs)
  • Foreign Currency Convertible Bonds (FCCBs)
Day 8 – Corporate Actions
  • Related Laws and Process
Day 9 – Ongoing Compliance Requirements
  • Reports to be submitted as per Listing Agreement
  • Compliance under the SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011
  • Compliance under the SEBI (Prohibition of Insider Trading) Regulations 2015
  • Appellate Tribunal
  • SCORES System For Investor Grievance
  • Establishment of Special Courts
Day 10 – Elements Of Taxation
Day 11 – Recap & Revision
Day 12 – Recap & Revision
Day 13 – Recap & Revision
Day 14 – Recap & Revision
Day 15 – Recap & Revision


1. 1. You are eligible for a refund until the course / specialization launches on the platform however kindly note 25% reduction will be done on the amount paid if applied for cancellation.

2. You are not eligible for a refund after earning a Course Certificate, even if you complete a course in a short period.

3. Rs.5000/- will be refunded as a token of reward if examination is cleared in first attempt.

Yes—to enroll in an individual course, search for the course title in the catalog.

Yes, kindly contact Nathani Finance

20 Days Classroom Training

1 Day for Examination

New Batch admission will start every month.

No specific background is required for this course, anybody can join having interest in this Industry.

Although you can take the courses in any order, however we do recommend that you follow the suggested sequence of courses

Yes, Successful candidates will be rewarded the Certificate by the below mentioned organisations post clearing the exams.

Nathani Institute Pvt. Ltd.

National Stock Exchange Ltd.