Capital, Commodity and Money Market CS Mohit Shaw

Dear Student,

Open book examination is all about time management and selecting the right content
from the given study material. Many of our friends commit the mistake of writing
(copying) the whole content from the material without considering the valid points
which ultimately kills the time. So we need to have patience. At the same time the
greed to write more and more encompassing irrelevant points should be curbed.

This master index has been prepared with the help of the Institute’s study material
(published on 2016-17 – printed mat). It is worth noting that the content table of the
original mat does not cover the sub divisions of the topic which makes it difficult for a
student to trace the exact answer from the book during the examination. Hence in
order to reduce the effort and confusion of an aspirant this master index has been
framed.

Kindly note that certain topic in the index does not contain page numbers. This is
because those topics are included in the electronic mat available on the search engines
and not been covered under the printed mat of the given published date. So it will be
beneficial for you to cover those topics as well (bold or highlighted ones).

All the best!!

Lesson 1
Economic Framework of Capital Market
Particulars Page no
Introduction
Constituents of the financial system 2
Financial assets
Classification of Financial Assets
A. (i) Marketable assets
(ii) Non-marketable assets 2
B. (i) Money/cash asset
(ii) Debt asset
(iii) Stock assets
Financial intermediaries
Financial markets 3
Classification of financial markets
 Unorganized Markets
 Organized Markets
1) Capital Market
a) Industrial Securities Market
b) Government Securities Market 3-5
c) Long-term Loans Market
2) Money Market
Features of Money Market 5
Capital market 5-6
Primary market 6

acsmohitshaw@gmail.com
The index is as per printed MAT issued by the Institute Page 1
PRN -2016-2017/320
Capital, Commodity and Money Market CS Mohit Shaw

Secondary Market 6-7

Functions
Secondaryof Capital Market
market 8-9
6-7
Role
Whatof Capital Market
is Transaction in Resource Alloocation
Cost? 9
7-8
Capital Formation
Functions of capitaland its Stages
market 10-11
8-9
Role of capital market in capital
resourceformation
allocation 11-12
9
Capital formation Lesson 2 10
Stages of capital formation Legal Framework 10-11
Introduction 16
Department of Economic Affairs (DEA)

 Capital Market Division

1) Primary Market (PM)

2) Secondary Market (SM)
3) External Markets (EM)
4) External Commercial Borrowings (ECB)
16-20
 Ministry of Corporate Affairs
 Company Law Board
 National Company Law Tribunal
 Reserve Bank of India
 Securities and Exchange Board of India (SEBI)
Legislations 20
Grievance Redressal Mechanism
 Grievance Redressal Mechanism at –
1.Stock Exchange
2.SEBI 20-22
 Investor Protection Fund
 Investor Protection and Education Fund
Securities Appellate Tribunal (SAT) 22
Prevention of Money Laundering Act, 2002
 Objective
 Offence of Money-Laundering
 Punishment for Money-Laundering
 Obligations of Banking Companies, Financial Institutions and 23-27
Intermediaries of Securities Market
 Cash transaction report
 Suspicious transaction reports
Investigating Agencies in case of PMLA, 2002
 Directorate of Enforcement
 Central Bureau of Investigation
 Financial Intelligence Unit – India (FUI-IND) 27-31
 Functions of FIU-IND
 The Financial Action Task Force (FATF)
 FATF recommendations 2012

acsmohitshaw@gmail.com
The index is as per printed MAT issued by the Institute Page 2
PRN -2016-2017/320