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A Primer on Capital Markets


Capital Market is one of most attractive avenue for a corporate body to raise capital through ownership and debt instruments. However, this was not always the case. Earlier, capital market was accessible to few companies only and investor base in these markets was not that strong. With the establishment of Securities and Exchange Board of India and the liberalisation of the economy under the New Economic Policy of 1991, capital market has seen huge development over almost last three decades. Though this period has witnessed several scams and frauds in capital market, but each time, with stronger reforms, SEBI has taken steps to correct the market.

Due to complexities of the transactions involved in raising capital through capital market, SEBI is empowered as regulator to make regulations and ease out the transactions with proper disclosures and other regulatory actions. SEBI has not just regulated the transaction between the principal players i.e. issuer company and investors rather SEBI has made detailed regulation for each and every intermediary in the capital market who facilitate these transactions. Because of this the complexities of this subject has increased more. A sound knowledge in this area can be obtained only on understanding it in conjunction with primary enactments such as Companies Act, 2013, Securities Contract (Regulation) Act, 1956, Securities and Exchange Board of India Act, 1992, Foreign Exchange Management Act, 1999. This course aims to provide just that.



After completing this course, learners will be able to:

  • Understand capital market and trading of securities.
  • Apprise yourselves with the various regulatory framework connected with capital market.
  • Become well-versed with the various instruments comprising capital market.
  • Know the role and functions of the players which operate within the capital market.
  • Analyze domestic as well as cross-border investment transactions.
  • Understand the types of securities fraud and offences and penalties for the same.


  • Module 1 – Introduction to Capital Market
  • Module 2 – Regulatory Overview of Capital Markets
  • Module 3 – Capital Market Instruments
  • Module 4 – Capital Market Players
  • Module 5 – Domestic Primary Market Transaction
  • Module 6 – Issue and Listing of Debt Security
  • Module 7 – Cross Border Investment
  • Module 8 – Capital Markets and Legal Offences
  • Certification Exam/ Assessment



Honors Badge


  • Law Students
  • Lawyers
  • Stock Brokers
  • Any person interested in or dealing with securities and investment

Level: Beginner

Language: English

Duration: 6 Months


Progress will be tested by way of quizzes and assignments at the end of each Module. Learners must attempt the exam at the end of the course and secure at least 50% marks to obtain course certificate.

About the Author

Mr. Praveen Tripathi did his LL.M (Business Law) from NLSIU, Bengaluru, and worked there as an Assistant Professor of Law. He taught Financial Market Regulations and Investment Laws to the Post Graduate Students. Praveen was awarded with CCI-IICA Fellowship for the Antitrust Summer School jointly organized by CCI and IICA in 2014 and Asian Scholar Grant, 2017 by Lee Kuan Yew School of Public Policy, Singapore for International Conference in Public Policy, 2017.

He is currently engaged as an Assistant Professor at Bennett University. Praveen has wide ranging experience in the matters related to Securities & Investment Laws and Law relating to Civil Procedures.

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