Functions and Regulatory Mechanisms

When you joined our Investment Banking team, I explained to you that handling IPOs and market transactions is not only about financial analysis, but also about following the regulations set by Securities and Exchange Board of India.

I told you that SEBI plays a major role in protecting investors, ensuring transparency, and preventing insider trading and unfair market practices. Since we deal with sensitive financial information and public market transactions, understanding SEBI compliance is extremely important for

your role.

To help you to understand regulatory Enviorment better i am assigning you the following task to

• Analyze the Structure and Functions of Securities and Exchange Board of India

Topic : Regulatory Framewor

1) Role of regulators.   2) SEBI (capital markets).    3) RBI (banking & forex)
4) Global regulators (SEC, FCA).   5) Importance of compliance in operations

Now you have explored all the intermediaries in the market, let's move on to the regulator of India.

As you're working into Investment Banking you need to understand all the compliances required by regulators.

The Securities and Exchange Board of India (SEBI) is the statutory apex regulator for the securities market in India, established on April 12, 1992, to protect investor interests and promote fair practices. It regulates stock exchanges, brokers, and mutual funds to ensure market transparency, prevent fraudulent activities like insider trading, and maintain market integrity.

Go  official website  of SEBI Enforcement

Link -https://www.sebi.gov.in/enforcement.html

 Click on Legal tab and then click on Regulation Part for understanding the regulation that has been updated

Then click on on Regulation part under legal tab so you can access the regulations that are given by SEBI

Now click on 2008 Securities and Exchange Board of India (Intermediaries) Regulations, 2008 [Last amended on April 16, 2026] to understand the particular regulation regarding

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Now click on 2008 Securities and Exchange Board of India (Intermediaries) Regulations, 2008 [Last amended on April 16, 2026] to understand the particular regulation regarding

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This will open a pdf showing Guidlines for any intermediaory as shown below.

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Write down 5 most important regulations regarding SEBI (intermediaries) Regulation, 2008 Last amended on Apr 16, 2026.

Great job!
You have successfully completed your lab on Functions and Regulatory Mechanisms  in which you had seen how to explore the resulations guidelines by visiting official website of SEBI

Checkpoint