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Registrar and share transfer agent will only be in listed company or other companies also???

Sir who is issuer ,is it the listed company who issues the share? What is difference between depository participants and stock broker. How the prices on stock market are decided?for example if today reliance share is trading at2435, how this price is decided

employee stock option scheme

esops dene k time co secondary market se bhi shares de sakti he to vo shares to public k pass hoge to employees ko dene k time vo shares nikalege kaha se ager public k pass se buy kiya to exit price dena padega na sharehoders ko jo bhot high hota he to co secondary market se shares kaha se jama karegi ?

Meeting of Independent directors

Amar one of the independent director of ignite colour ltd which is a listed company which intends to hold a meeting of independent directors without inviting the managing director of the company. Is the action of the independent director bails ?

SAST Regulation,2011-Bail out takeover

What is bail out takeover?

Related Party Transaction

Material Related Party Transaction is entering into transaction which exceeds rs 1000 crore or 10% of turnover whichever is lower, but does that mean equal to or more than in 10% case? Example: company's turnover is 1000 crore, transaction entered is 100 crores, so turnover's 10% would be 100 crore. Will this transaction be material ? As it does not exceed 10% it is equal to 10%?

Mutual Funds- Growth Oriented Schemes

what is the difference between i) high source of income by way of dividends and ii)rapid capital appreciation both from holding of good quality scrips based on my understanding both of them mean the same thing,.. the second point is not clear enough.

Regarding floor price and price band

Sir muje floor price and price band ka diff ni clear hua

Recovery of amounts

Sir Under recovery of amt by adjudicating officer if the person fails to pay the penalty mai Recovery is 1st done by selling of his movable property Then bank bal Then immovable property Then arrest of the person and his detention And lastly appointment of reciever for the management of persons immovable n movable property Now my ques is... Ki movable property toh easily transfer ho skti h and encashed bhi toh why to appoint a reciever for that jn the last point?

Public issue and listing of securities

*Public issue and listing of securities* As sir stock exchange 13 sa jyada hai,in case ek stock exchange na reject kar diya to baki bhi kar denga kya.

Eligibility norms for public issue- Offer for sale

The company has net tangible assets at least rs 3 crores in each of the proceeding 3 full years(of 12 months each), of which not more than 50% held in monetary assets. However, if more than 50% of the net tangible assets are held in monetary assets, the issuer has utilized or made firm commitments to utilize such excess monetary assets in its business or project. This limit of 50% shall not apply if ipo is made through offer for sale. Sir please explain what is the meaning of offer for sale?

book closer date or record date

Who will determine dividend and voting rights book closer date or record date ??

Adjudication under SEBI Act 1992

If the appeal is pending with SAT and SEBI passes an order before the appeal is being disposed by SAT. 1. Can SAT set aside the order of SEBI and pass a new order ? 2. Isn't SEBI's power in the given case overlapping the powers of SAT. As SEBI is given more power in the given case than SAT. 3. Isn't this provision hindering the entire process of Adjudication, as we talk about the hierarchy it states: Adjudicating officer or SEBI --> SAT --> Supreme court. Then how come an aggrieved party involving SEBI in the case, is SEBI passing the order suo moto or as a resolution to the appeal of the aggrieved party?

Benefits of depository system

What is the meaning of 'Elimination of Bad Deliveries' under benefits of depository ???

ICDR-Underwriters

Underwriters Sir firm Underwriters ka concept bhi toh hota h. Fir aesa kyu h ki Underwriters subscribe nhi kr skte in any manner except for fulfilling Underwriter obligation?

Fungible

Sir we can say shares also fungible And Sir how to do writing practice of slaw

SEBI Act 1992

In answer to the question - Powers of SEBI while trying a suit the last point is "Issuing commissions for the examination of witnesses or documents " I didn't quite understand what this statement meant. is it like giving a commission to people who examine the witness and documents?

SEBI act,1992

Minimum penalty of non disclosure of acquisition of shares and takeover?

Dividend on shares

How to claim dividend on share holdings by public? Is it only the demand and supply forces that change the share price?? Even if co. Is performing low but demand for the share is high then sh. Price will increase, now what is the companies benefit in that if sh. Price in secondary market is increasing?

Depository

Sir, why has the depository come, what is their benefit

Takeover code

What is indirect acquisition as per takeover code and in what situations it is considered deemed Direct acquisition???

Promoter contribution

Sir in listed company composite issue there is limit of 20% proposed public issue or 20% of post issue capital .... Please explain this point ... I m your gdpd student and thanku sir for amazing wonderful lecture ....

Mutual fund

What do you mean by funds of fund

Mutual fund

What do u mean by off shore fund

Basic

For example sir mere pass koi share h physical to me depository ko kese duga jese courier ya or kuch

SEBI ICDR REGULATIONS 2018

Sirji I am having a doubt regarding floor price and what's the difference between floor price and face value?

Promoter's Contribution

Sir in the attached screenshot, there is a shareholding pattern of a listed Company named Coffee day Enterprises. The Promoter's holding is only around 8 to 9%. So is this the violation of Securities law, as it should be minimum 20% of post issue capital right?

book building

Sir in Book building method, for eg. a Company made an issue of 100000 shares at a price band of for eg. 300 - 330., the Company received applications for 99000 at bid price of 330 but for 1000 shares, the person bids at say 305. So now the Cut off price would be 305. So now this would be wrong for the Company right because the Company was getting 330 for almost 99% of the issue, now just because of that 1000 shares, Company is losing/ forgoing the rate of 330. What would be the solution in such case, Is it correct ?

Takeover code

Sir as we know that voluntary open offer given by acquirer who hold at least 25percent stake in Target co. But sir acquire also trigger the mandatory open offer provision so sir i have question that acquirer can give single open offer or both???

ICDR-Exit opportunity

Sir we know that at least 10 percent shareholders can apply for exit opportunity but before closing of tendering periods they can withdraw as well so sir i have questions that if after withdrawal the limits 10 percent reduced is promoter still provide exit opportunity or not????? Plz tell me sir

Direct or regular Mutual fund

Sir If a company issues Mutual Fund by itself and also through a broker then it will be considered under direct or regular Mutual Fund ???

ICDR-floor price

Floor Price meaning "Lower than floor Price and the difference between such price and floor Price shall not be more than 10 %"Please explain

Sebi takeover code

My doubt is regarding public announcement ,if acquirer ,acquired 5%shares and previously he didnt have any shares of target company then also he have to make public announcement

BuyBack

Sir, in case of buy back of Securities through stock exchange the co. Will receive Securities in demat form, then what is the need of the provision that the Securities so bought back are to be physically Destroyed?

Takeover code

If the target company is a private company and the acquirer company is an unlisted company will the takeover code be applicable?

Underwriting

Sir kya underwriting karwana compulsory h jo v company ipo ya fpo la rhi uske liye?

Share based employee benefit and sweat equity regulations 2021

Sir if a company goes for secondary acquisition then it has to create a trust but sir whether the provisions of buyback regulations will be applicable or not on such secondary acquisition through trust route?

Depository

Public and unlisted public can also use the depository their is no restriction

Circuit break and limit order

1) Limit order kuch to exemption rhti hogi n aise kaise vo apne man price mil jayega 2) Kitne dino me order excuted hona chaiye

Sast regulation 2011

In a particular case, a target company issued 200 lakh warrants @ ` 100 per warrant to two promoters enabling them to get a right to have equity shares at a later date by paying ` 50 crore up-front. Assume that such a preferential allotment is made as per the preferential issue guidelines of SEBI. In a takeover bid, the contention before the SEBI is whether these warrants should be treated as partly paid-up shares. (4 marks) 2014- Dec [1] Is this question relevant for dec 22 examination?

Trading plans

Sir ye 2nd paragraph Mero ko Pata nahi chal raha hai , so plz app ye explain karke dijiye

with regard to using to calculator in slcm examination while solving numericals

i just had a minor doubt with regard of using calculator in slcm examination while solving numericals is allowed/granted by icsi

Request

Sir i m your GdPd student of slcm executive,sir i want to request you something. Sir Please if you can help us by making a playlist of revision lec you took recently in October 2022 please sir we are unable to find lot of topics

Related Party Transactions

Can you plz explain this , when will a transaction with a releated party be transaction?

Insider trading

In reg 4, insiders can trade off market, in this will the parties be insiders of one company Or insiders of different companies?

Promoter minumum contribution

promoter h mukesh ambani....wo ab 75 saal k hogye suppose .....company issue laana chhati h koi or company ka past record nhi h dividend ka koi nd company k shares frequently trade bhi nhi hote h....ambani retirement m h apne....bt promoter h toh tb bhi ky unko paise laane honge promoter min contri ke

Mutual fund's Cut off timeline for NAV

Sir, in mutual funds you explained If the transaction is more than 2 lakh then the NAV shall be considered of the day on which funds are received for utilisation. I understood that in case a person wants to buy units he will transfer the amount to the Mutual funds and the day amount will be received the same NAV will be taken but I cannot connect the procedure in case of selling units above worth 2 lakh. I mean in case of selling of units to whom the amount has to transferred or received? I dont understand that

Reservation on competitive basis

Sir reservation on competitive basis topic me 100 rs me se 20 promoter ne lelia, ab 80 issue size hai usme se employees 5% (4) and shareholders 10%(8) ke lie reserve kr skte hai Or baki bacha hua 68 rs net offer to public wali %age me reserve hoga? One more question Retail individual investor ki max limit 2 lakh hai in reservation on competitive basis or use fr net offer m apply b allowed hai... Pr uske ps to fr more than rs 2lakh ke shares hojaege ... Fr vo RII nhi rahega to use fr ye net offer wala option b nhi milega because vo other than RII hai

Takeover code

Sir jab takeover code main agar acquirer hostile takeover kare toh usko 26% open offer kisko dega Eg if like ambani has reliance 50% share and trump want to takeover in reliance and he acquire 25% from open market as hostile takeove 1) still he has to give open offer 2) and if he Wants more then 25% share in reliance but 50% is hold by Ambanis and can he get more then 25% from open market

Takeover code

Hello sir I am confused in regards to offer price. Offer price in case of frequently traded shares is clear. But there is confusion when shares are infrequently traded and in case of indirect acquisitions. What is the offer price for indirect acquisition and in case of infrequently traded shares

General.

Hello sir. I purchased the recorded lec of SLCM and today finally with huge satisfaction I have completed my lectures....thank you soo much for those wonderful teachings ❤️ 😊 ... Sir avi sai lekke to do revision 2+ months bacha hai so...should I read module and scanner or I should follow our main book only....my module 1 is already done in June 22 and I have only module 2 in December so please let me know about this sir because aapne bataya ki 2 months hii hai tho module keliye time nai hoga but couldn't get clarity on whether you said that on view of single module students or both module....so please clarify sir 🙏🙇‍♂️ I had messaged you in instagram then later i came to know i have to reach to you this way. Sorry for messaging in instagram. Thank you.

Icdr regulations

Pricing of sweat equity shares and prefential shares Which one is right?

ICDR SME EXCHANGE MIGRATION TO MAIN BOARD

The doubt is when the company having the capital exceeds 25crores have to migrate for main board but what if they do not comply with main board eligibilty criteria till that time will they be considered as a delist company or will they be still listed on SME exchange?

SEBI (ICDR) Regulations, 2018

Hello Sir! I am your drive student and have one query. In book building method while issuing Red Herring Prospectus company has two options regarding disclosure of price band or floor price i.e. in RHP or Newspaper (1 day before opening of issue in case of FPO and 2 days before in case of IPO) so the question is as issue is going to open next fine day then when will company issue final prospectus? Because, bidding and calculation of cut off price will take time .

LODR

What is the meaning of shelf prospects? Can you plz explain me in detail

Depositories act 1996

How to create encumbrances on securities in demat form?

LODR

In certain regulations It is written as Top 1000 listed entities from 1/4/19 shall comply certain things & Top 2000 listed entities from 1/4/2020 need to comply the same certain things. Why is it written for the previous amendment?

Foreign portfolio investor

Sir, I have a doubt regarding foreign portfolio investor in your notes there are 3 categories but in institute module there are 2 categories which one I should refer?

Additional notes

Sir from where do I get my additional notes as I'm Google drive student and I need additional notes pdf

appeal by Sebi

Sir kya sebi tb appel krr sakta hai kya jb sat ne order ko modify kiya hai ya change Kiya hai?(like agar sebi k according penalty 1cr ki hai pr sat k according 25 lacs ki ) to iss case me kya sebi sc ko appeal krr sakta hai?

About AGM and Voting

Sir, 1) If I've purchased 1 share suppose ki MRF from Stock market or vo mera share Demat acc me he to kya me AGM attend kar sakta hun kya?? Do i have voting rights??. 2) Jo shares me kisi broker k through purchase krta hu or vo Demat acc me raheta he to kya vo share Equity share he kya?? 3) Equity shares purchase kese hota he??

Mutual funds

Sir kya mutual funds daily basis pe trade kr skte h jaise intraday, short sell etc?

Mutual funds

Sir mujhe lectures dekhte tym smjh ni aaya kaise asset management company aur mutual funds kaise profit bnate h.

Direct and Regular Mutual Fund

Sir Kya ek co. Direct aur Regular dono Mutual Fund public ko de sakti hai Matlab apne aap se aur broker dono ke through de sakti hai

Leverage Mutual funds

What is Leverage Mutual Funds?

Composition of SEBI

Sir I did not understand that how many actually persons are there 6 or 7 or 8 in SEBI's composition. So please explain the composition.

Recovery of amount by adjudicating officer if any person fails to pay the penalty.

What does 'attachment’ mean here ???

Regarding dividend received

Sir mujhe ek doubt h jb hm share buy krte hai ya sell krte hai tb hme profit ya loss hota jaise uss share ke prices chl rhe h.lekin jb hm share hold kr ke rkhte hai tb hme dividend kaise received hota hai??

1.Share Based Emp Benefit & Sweat Equity Reg,2021. (2)Takeover code

1.Chpt Share Based Emp Benefit : Where a separate resolution to be passed in 4 cases, if any work is done in a combination then two separate resolutions to be passed for such Or thorough single resolution it can be done. 2.Takeover Code Q.4.a Dec 2019 as gift is given to immediate relative of vihaan which comes under exempt category then how we can consider it in gross acquisition

Listing

Sir Can a private co. be listed on private placement basis?

Part b

In the last June attempt numerical from part b has been there where one question came that x person is risk avenor I got confused with the word avenor and solve the question as option writer but it was holder there according to this question there can be so many synonym for the for option writer and option holder how to deal with this plz give some refrence 🙏🏻🙏🏻🙏🏻🙏🏻

Promoter classification

Ek baar bird eye view se smja do sir ki hota kya hai aapke bhout saare lectures uploded hai youtube pe but me bhi nahi mila vo topic

Relating to promotor

Sir what do we mean by re-classification of promoter's holding

Regarding notes

Sir k konsi book dec 2022 k liye refer kare.. Maine 8.2 edition k lectures liye the... Exam bt dec 2022 m de rhi hu... And additional topics kaise krne h.... Dec 2022 k liye

Regulation 29, TAKEOVER CODE, 2011

Respected sir, As per regulation 29of takeover code , is a pledger is any person (other than promoter) pledges shares is not required to disclose pledge. While if pledger is promoter then he is required to give disclosure (as per regulation 31) Pledgee point of veiw If pledgee is bank - bank are not required to disclose any shares pledge with them If pledgee other than bank - required to disclose shares pledge with them under reg. 29 Conclusion Pledgor - promoter- required to disclose Any other - no requirement Pledgee - bank - not required Any other - required to disclose Question - in deal between adani and Deutsche Bank , adani pledge shares of ambuja and acc with Deutsche Bank , then as per regulation 29 Deutsche Bank not required to disclose but why bank issue the disclosure by writing pursuant to reg. 29

Exam related

Sir can i start my paper from part b que 6 also ?? Or i have to maintain part wise sequence??

Nomination remuneration committee

Sir what will be the independent director of nomination remuneration committee Actually in module it is return 2/3 And in June 2022 batch amendment u have told it is amended 50% and in revision u tell us that use 2/3 only ... So confused..

Hardik Tripathi ( Udaipur )

Swati Jain ( Ahmedabad )

Sachin vaviya ( Mumbai )

Ishita Malhotra ( Agra )

Kashak ( Patna )

Mansi Nagdev ( Gwalior )

Regina Francis ( Surat )

Sumit Puri ( Jalandhar )

Chhavi ( Haily mandi )

Yash Nitin katkar ( Akola )

Ankit Raj ( ARRAH )

Hardik Tripathi ( Udaipur )

Kratika Arora ( Delhi )

Hardik Tripathi ( Udaipur )

Rimjhim swarnkar ( Vidisha )

Vinay ( RAICHUR )

Regina Francis ( Surat )

Khushi rathi ( Bikaner )

Rohini ( Chandigarh )

ADITI AWASTHI ( Kanpur )

Vidhi agrawal ( Shivpuri )

Abhishek tripathi ( KANNAUJ )

Hitesh ( Sadri )

Hitesh ( Sadri )

Hitesh ( Sadri )

Sakshi kukreja ( Bhusawal )

DARSHAN SHAH ( MUMBAI )

DARSHAN SHAH ( MUMBAI )

Chandan ( New Delhi )

Chandan ( New Delhi )

Hardik Tripathi ( Udaipur )

Bikram jit Paul ( Kolkata )

Swati Jain ( Ahmedabad )

Surbhi Goyal ( Gwalior )

Aakansha Yadav ( Jabalpur )

Ankit Raj ( ARRAH )

ISHA ( JIND )

Khushi agrawal ( Nagpur )

Khushi agrawal ( Nagpur )

Amey Shashikant Pendhari ( Mumbai )

Het Modi ( Vadodara )

Anish gavali ( kolhapur )

Sarla khemka ( Kolkata )

Het Modi ( Vadodara )

Rishita Sisodia ( Mumbai )

Viraj ( Delhi )

Rishita Sisodia ( Mumbai )

Bhumi Aggarwal ( Sirsa )

Himanshu Murarka ( Jodhpur )

Sidhaye ( Jalandhar )