Module 2: SEBI Act & Regulatory Framework
A comprehensive, practice-oriented training module designed for advocates, corporate lawyers, compliance officers, and investment professionals seeking mastery in securities regulation and SEBI's enforcement framework.
Six Comprehensive Parts
Each part builds upon the previous, creating a complete framework for understanding SEBI's regulatory architecture and enforcement mechanisms.
SEBI Act 1992 - Structure & Powers
Understand the foundational architecture of SEBI, from its preamble and objectives to the constitution of the Board and key statutory definitions.
SEBI's Regulatory Powers
Master SEBI's extensive regulatory powers under Section 11, including the power to issue directions, cease and desist orders, and registration requirements.
Investigation & Enforcement
Learn SEBI's investigative machinery including search and seizure powers, document production requirements, and enforcement case studies.
Adjudication & Penalties
Navigate SEBI's penalty framework from S.15A to S.15HB, understand adjudicating officer powers, penalty quantum, and recent penalty order analysis.
Settlement & Consent Orders
Understand SEBI's settlement mechanism, eligibility criteria, the consent order process, and strategic considerations for choosing settlement.
Judicial Review & SAT
Master the appellate framework from SAT appeals under S.15T to Supreme Court jurisdiction under S.15Z, including landmark SAT decisions.
Module Assessment Quiz
Test your understanding with 50 scenario-based questions covering all six parts. Detailed explanations provided for each answer.
What You Will Master
Upon completing this module, you will have developed competencies essential for effective securities law practice.
Navigate SEBI's organizational structure, board composition, and the statutory framework governing India's securities markets
Apply SEBI's regulatory powers including Sections 11, 11A, and 11B to real-world compliance and enforcement scenarios
Advise clients during SEBI investigations, handle search and seizure situations, and manage document production requests
Represent clients in adjudication proceedings, understand penalty determination factors, and draft effective submissions
Evaluate settlement options, navigate the consent order mechanism, and make strategic decisions on dispute resolution
File and argue appeals before SAT and Supreme Court, understand limitation periods, and leverage landmark precedents
Ready to Begin Your Journey?
Start with Part 1 and build your expertise step by step. Each part includes statutory analysis, case studies, practical insights, and assessment questions.