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Investment Analysis and Portfolio Management by R. Madhumathi, M. Ranganatham

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3

Stock Market Regulation

Chapter Query

What does regulation mean to you?

  • Regulating the business in stock exchanges and any other securities market?
  • Setting day limits, regulating carryforward deals, and fixing daily margins?
  • Calling for information from, carrying out inspection, conducting inquiries and audits of the stock exchanges and intermediaries and self-regulatory organizations in the securities market?
  • Registering and regulating the working of collective investment schemes, including mutual funds?
  • Prohibiting fraudulent and unfairtrade practices relating to securities markets?
  • Prohibiting insider trading in securities with the imposition of monetary penalties on guilty market intermediaries?
  • Regulating substantial acquisition of ...

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