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Regulatory Framework
Role of Regulators
Learning Outcome
5
Analyse effects of non-compliance.
4
Understand capital market regulations.
3
Explain SEBI’s key functions.
2
Identify major Indian financial regulators and their roles.
1
Understand financial regulation and its importance.
A regulator is a government-authorized body that oversees and enforces rules in a specific industry. In financial markets, regulators supervise participants, prevent violations, and ensure fair, transparent, and stable markets.
Key regulatory bodies in India
What is a Regulator?
Core Functions of Regulators
Regulators typically discharge six major functions:
Importance of Regulators
Summary
5
SEBI LODR ensures governance and transparency.
4
Insider trading is strictly prohibited.
3
SEBI regulates and develops capital markets.
2
India’s key regulators: SEBI, RBI, IRDAI, PFRDA.
1
Regulators protect investors and ensure market trust.
Quiz
Which of the following is the primary regulator for securities markets in India?
A. Reserve Bank of India (RBI)
B. Securities and Exchange Board of India (SEBI)
C. (IRDAI)
D. (PFRDA)
Quiz-Answer
Which of the following is the primary regulator for securities markets in India?
A. Reserve Bank of India (RBI)
B. Securities and Exchange Board of India (SEBI)
C. (IRDAI)
D. (PFRDA)
Regulatory Framework - Role of Regulators
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