Webinar On How SEBI Regulates The Securities Market

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A webinar was conducted on How SEBI Regulates the Securities Markets by Mr PK Nagpal, Executive Director, SEBI on 21st December 2019 at CHRIST, Lavasa.

Mr PK Nagpal has been with Securities and Exchange Board of India (SEBI) since May 1989 i.e. since its inception and its Executive Director since April 2007.
He has been involved in the formulation and implementation of policies and reforms in various segments of securities markets and making the regulatory framework of SEBI of international standards. He was on the board of the National Institute of Securities Markets (NISM) for 5 years and its Director during 2012-13. He was also the Chairperson of the Standing Committee of IOSCO (International Organisation of Securities Commissions) comprising of 33 major jurisdictions of the world during 2016-18.


Apart from being a member of several committees of the regulators and the Government, he was the Chairperson of the committees of regulators in the financial sector (SEBI, RBI, IRDA, and PFRDA) - Committee on Stewardship Code and Standing Committee on Credit Rating Agencies. Mr Nagpal has many more accomplishments to his credit.

The webinar featured SEBI Act, 1992, SEBI-Structure, jurisdiction of SEBI, evolution of the market, market intermediaries, enforcement of acts and regulations and global recognition.  Regarding matters pertaining to Jurisdiction Mr Nagpal gave valuable inputs about listed companies, stock exchanges, depositories and other intermediaries. He also spoke about various activities such as raising of capital, takeovers, buyback, mutual funds schemes, trading in stock markets and collective investment schemes.

It was quite enlightening to know about the evolution of market from beginning till today. For instance earlier there was merit based regulation, mutual exchanges, account period settlement and cash equity whereas the current trend focuses on  disclosure based regulations, de - mutual corporate exchange etc.

Mr Nagpal gave brief information about various committees such as Primary Market Advisory Committee, Secondary Market Advisory Committee, Mutual Funds Advisory Committee, Settlement /Consent committee and Ad hoc Committees.

The webinar concluded with insightful information about regulation of various segments of securities markets, formulation of policies - regulations, corporate governance principles, registration of intermediaries and supervision of markets.

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