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Chapter 8 of 10
Legal and Regulatory Environment
14 marks (9%)~5 hours study13 sections · 10 practice questions
Learning objectives
- Identify SEBI's role and key regulations governing derivatives.
- Articulate the key recommendations of the L C Gupta and J R Verma committees.
- Describe RBI's role in currency and interest-rate derivatives.
- Recall the regulatory reporting requirements for IRD markets.
- Apply key conduct and prohibition rules in client-facing scenarios.
Topics covered
01SEBI Act 1992 — overview
02L C Gupta Committee — index futures launch framework
03J R Verma Committee — risk management framework
04RBI-SEBI Standing Technical Committee
05Foreign Exchange Management Act (FEMA)
06SEBI Regulations for Currency Derivatives Exchanges
07Regulatory reporting for IRD
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A peek at what's inside Chapter 8:
13
study sections
First section: "Why this chapter matters"
15
cheat-sheet terms
Includes: SEBI, SEBI Act 1992, SC(R)A 1956...
10
practice MCQs
Interactive — click an option to reveal the correct answer + explanation
3 underlying tabs
Equity / Currency / Interest Rate views
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