Surveillance in Stock Exchanges

Effective surveillance is the sine qua non for a well-functioning capital market. This module has been developed pursuant to the desire of the Inter-Exchange Market Surveillance Group of SEBI to have a certified training Programme. The module provides insights into the surveillance issues in the stock markettransactions.

Why should one enroll in this course?
  • To understand the importance of market surveillance mechanism.
  • To learn the rules and regulations like Anti Money Laundering Act, SEBI (Prohibition of Insider Trading) Regulations etc."
  • To understand the concept of corporate governance.
Who will benefit from this course?
  • Surveillance staff of the Exchanges and Regulators
  • Compliance officers
  • Students & Teachers& Professionals
  • Anyone interested in the securities market
  • Investors & Traders Lobby
  • Financial Planners & Advisors
  • Analysts
  • Equity Research professionals
  • Bankers & its Employee’s
  • Employees of Stock Broking Company
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– Surveillance – An Introduction
  • Importance Of Surveillance
  • Market Surveillance Mechanism
Day 2 – Surveillance Of Market Activities
  • Introduction
  • Surveillance System
  • Surveillance Actions
Day 3 – Risk Management
  • Introduction
  • Risk Containment Measures
    1. Responsibilities of a Compliance Officer
    2. Asset/ Capital Adequacy
    3. Margins
    4. Inspection Of Books And Investigation
    5. Penal Charges
    6. On-line Monitoring
Day 4 – Rules And Regulations
  • Securities Contracts (Regulations) Act,
  • Securities Contracts (Regulation) Rules,
  • Securities And Exchange Board of India Act,
  • SEBI (Stock Brokers & Sub-brokers) Regulations,
  • SEBI Issue of Capital and Disclosure Requirements (ICDR) Regulations
  • SEBI (Prohibition of Insider Trading) Regulations,
  • SEBI (Substantial Acquisition of Shares and Takeovers) Regulations,
  • SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Markets) Regulations,
  • Corporate Governance
  • Investigation
  • Code of Ethics
Day 5 – Basic Investment Mathematics
  • Return And Risk
    1. Return And Risk of A Single Asset
    2. Calculation of Beta (B)
    3. Relationship Between Return And Risk
    4. Return And Risk of A Portfolio
Day 6 - Fundamental Analysis
  • Valuation of A Stock
Day 7 - Financial Statement Analysis
  • Balance Sheet
  • Profit and Loss Account
  • Ratio Analysis
Day 8 - Cost Of Capital
  • Cost of Debt
  • Cost of Preference Shares
  • Cost of Equity
  • The Weighted Average Cost Of Capital
Day 9 - Capital Structure
  • Net income approach
  • Net operating income approach
  • Traditional approach
  • Modigliani and miller approach
Day10 - Capital Budgeting
  • Net Present Value
  • Benefit-cost Ratio
  • Internal Rate of Return
  • Payback Period
  • Accounting Rate of Return
Day 11 - Tim
  • Future Value of A Single Cash Flow
  • Future Value of An Annuity
  • Present Value of A Single Cash Flow
  • Present Value of An Annuity
Day 12 - Market Index
  • Understanding The Index Number
  • Understanding S&P CNX NIFTY
  • India Index Services & Products Ltd (IISL)
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.