1. REGULATORS
IN
INDIA

2. AUDITORS – CHARTERED ACCOUNTANTS

3. COMPTROLLER & AUDITOR GENERAL
OF INDIA (CAG)
• AUDITS THE GOVERNMENT ENTITY & REPORTS
TO PARLIAMENT & PRSEDENT OF INIDA

5. BANKS
RESERVE BANK OF INDIA

6. BANKING STRUCTURE IN INDIA
CO-OPERATIVE
BANK
RURAL BANK
COMMERCIAL BANKS
DOMESTIC BANKS
NATIONALIZED BANK
SHAREHOLDERS includes
GOVERNMENT OF INDIA
FOREIGN BANKS
NON-NATIONALIZED BANKS
SCHEDULED
BANK
NON
SCHEDULED
BANK

7. COMPANIES - ALL
• MINISTRY OF CORPORATE AFFAIRS
• REGISTRARS OF COMPANIES
 21 ROCs in INDIA

8. LISTED COMPANIES
• Securities Exchange
Board of India
(SEBI)
• Stock Exchanges

9. COMPANY SECRETARIES

10. CREDIT RATING AGENCIES
SECURITIES AND EXCHANGE BOARD OF INDIA
(CREDIT RATING AGENCIES) REGULATIONS, 1999

11. DEBEBTURE TRUSTEES:
A debenture trustee means a trustee of a trust deed for
securing any issue of debentures of a body corporate
WHO CAN BE A DEBENTURE TRUSTEE:
– entity should either be a scheduled bank carrying on
commercial activity, a public financial institution, an
insurance company, or a body corporate.
The entity should be registered with SEBI
to act as a debenture trustee

12. SEBI (Debenture
Trustees) Regulations

13. DEPOSITORIES & DEPOSITORIES PARTICIPANT
A depository is an organisation which holds securities
(like shares, debentures, bonds, government
securities, mutual fund units etc.) of investors in
electronic form at the request of the investors
through a registered depository participant.

14. DEPOSITORIES PARTICIPANT
1.
2.

15. INVESTMENT CONSULTANTS

16. FOREIGN BROKERS

17. INVESTMENT BANKERS

18. INVESTOR ASSOCIATIONS

19. MUTUAL FUNDS & ASSET MANAGEMENT CO

20. PORTFOLIO MANAGERS
PERSON WHO MAKES INVESTMENT DECISIONS USING MONEY OTHER PEOPLE HAVE
PLACED UNDER HIS OR HER CONTROL

21. PLANTATION
COMPANIES
• Companies which
raises money from
public with objective
to set up plantation
of agricultural
produce. E.g. Tea,
Coffee, Coconut,
Rubber, etc.

22. REGISTRAR & TRANSFER AGENT
Registrar or transfer agents are the trusts or institutions that
register and maintain detailed records of the transactions of
investors for the convenience of mutual fund houses.

23. STOCK BROKER & SUB BROKER
A stockbroker is a regulated professional individual,
usually associated with a brokerage firm or broker
dealer, who buys and sells stocks and other
securities for both his clients, through a stock exchange
in return for a fee or commission called as Brokerage.

24. STOCK EXCHANGES
•
•
•
•
Designated Stock Exchanges
Permanent stock exchanges
Licenced Stock Exchanges
Regional Stock Exchanges
- NSE & BSE
- Ahemdabad Stx. ,NSE, BSE
- Gauhati, Bhubneswar, etc
- Gauhati, Vadodara, etc

25. VENTURE CAPITAL FUND
An investment fund that manages money from investors seeking
private equity stakes in start up and small- and medium-size
enterprises with strong growth potential. These investments are
generally characterized as high-risk/high-return opportunities.

26. MUTUAL FUND
BROKERS/AGENTS
ASSOCIATION
OF
MUTUAL
FUNDS
IN INDIA
SECURITIES
EXCHANGE
BOARD
OF
INDIA

27. INSURANCE COMPANIES & BROKERS