Merchant Banking for UG Students

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Published by Vijay Nicole Imprints Private Limited

Publication Date: Wed Oct 01 00:00:00 UTC 2014 Available in all formats

ISBN: 9789393665249

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ISBN: 9788182093706 Price: INR 350.00

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Description

Table of contents

Biographical note

User Reviews

In the recent past, the teaching and practice of ‘merchant banking and financial services’ has become more challenging and exciting than ever before. In fact, contemporary developments in the realm of domestic and global financial systems have brought about a lot of changes and challenges to the management of financial services to the community of merchant bankers.

Cover
Halftitle Page
Title Page
Copyright Page
Dedication
Contents
Preface
1. Merchant Banking – An Overview
- Definition
- Functions
- References
- Review Questions
2. Merchant Banking – Regulatory Framework
- SEBI Regulations
- Registration of Merchant Bankers
- General Obligations
- Inspection of Merchant Bankers
- Action Against Merchant Bankers
- Code of Conduct for Merchant Bankers (Under Regulation 13)
- SEBI Guidelines
- References
- Review Questions
3. Public Issue Management (PIM)
- Functions of PIM
- Mechanism
- Forms of Securities Issue
- Issue Manager
- Role of Issue Manager
- Activities Involved in Public Issue Management
- References
- Review Questions
4. Marketing of Equity Shares
- General Steps
- Public Issue Proposal – Factors
- Pricing of Equity Issue
- Law Relating to Marketing of Equity Shares
- Methods of Marketing Equity Shares
- E-IPO
- Post-Issue Activities
- References
- Review Questions
5. Prospectus
- Types
- Contents
- Regular Prospectus
- Part I
- Part II
- Part III
- Application Sans Prospectus
- Abridged Prospectus
- Prospectus for Rights Issue
- Disclosures under Malegan Committee Report
- Disclosures in Abridged Prospectus and Letter of Offer
- Deemed Prospectus
- Statement in Lieu of Prospectus
- Red-Herring Prospectus
- Information Memorandum
- Shelf Prospectus (Section 60 A)
- Misstatements in Prospectus
- References
- Review Questions
6. Underwriting Services
- Definition
- Underwriter
- Functions of Underwriters
- Underwriting Agreement
- Types of Underwriting Agreement
- Importance of Underwriting Services
- Kinds of Underwriting Services
- Mechanism
- Indian Scenario
- Underwriting Agencies
- Obstacles
- Variants of Underwriting
- Grey Market
- SEBI Guidelines
- Green Shoe Option (GSO)
- Stabilization Mechanism
- Green Shoe Option in Other Countries
- References
- Review Questions
7. Capital Market Instrument
- Meaning
- Types
- Preference Shares
- Equity Shares
- Non-Voting Equity Shares
- Convertible Cumulative Preference Shares (CCPS)
- Company Fixed Deposits
- Warrants
- Debentures and Bonds
- Global Debt Instruments
- References
- Review Questions
8. Depository Receipts
- Meaning
- Working Mechanism
- GDR in the Indian Context
- American Depository Receipt
- Indian Depository Receipts (IDRs)
- References
- Review Questions
9. Stock Exchange – An Overview
- History of Stock Exchanges
- Meaning
- Definition
- Functions/ Services/ Features/ Role
- Stock Exchange and Commodity Exchange Distinguished
- Indian Stock Exchanges
- Mode of Organization
- Membership
- Stock Exchange Traders
- Weaknesses
- Regulation of Stock Exchanges
- Steps in Stock Trading
- Mechanics of Settlement
- Stock Trading System
- Specialists
- Recent Developments
- Interconnected Stock Exchange of India (ISE)
- Indonext
- References
- Review Questions
10. National Stock Exchange (NSE)
- The Mission
- Trading Mechanism
- Listing Requirement
- Trading
- Corporate Structure
- Products
- References
- Review Questions
11. Over-the-Counter Exchange of India (OTCEI)
- OTCEI Vs. Other Stock Exchanges
- Over-the-Counter
- Need and Objectives
- Features
- Benefits
- Securities Traded
- Players
- Members and Dealers
- Sponsorship
- Registrars and Custodians
- Central Clearing Bank
- Monitoring Agencies
- Methods of Offering New Issues
- Trading Mechanism
- Settlement Procedure
- Slow Growth of OTCEI – Causes
- Revamping OTCEI
- Working of NASDAQ
- Changing Role of OTCEI
- Major Changes in OTCEI Functioning
- New Norms
- Utility of OTCEI’s New Listing Norms to Entrepreneurs
- OTCEI MoU with NASSCOM
- Revision in Composite Index
- Clearing and Settlement
- Technology
- References
- Review Questions
12. M & A Advisory Services
- M&A Advisory Services
- Concept of Merger
- Forms of Merger
- Related Connotations
- Hostile Takeover
- Merger – Types
- Mergers Vs. Takeovers
- Arguments in Favour of M&A
- Financial Evaluation of Merger
- Indian scenario
- Major Issues of M&A in India
- Merger Expenses
- Regulation of M&A in India
- Regulation of M&A Under the Companies Act
- References
- Review Questions
13. Portfolio Management Services
- Investment philosophy
- Investment Management
- Asset Management
- Portfolio Manager
- Discretionary Portfolio Manager
- Functions
- Strategies of Portfolio Manager
- Features of Portfolio Management services
- Need for Portfolio Management services
- Portfolio Management services Vs. Mutual Funds
- Role of Financial Advisor
- Products Under PMS
- Registration of Portfolio Managers
- Fees
- General Obligations
- General Responsibilities
- Investment of Clients’ Funds
- Maintenance of Books of Accounts, etc.
- Accounts and Audit
- Reports to be Furnished
- Report on Steps Taken on Auditor’s Report
- Inspection and Disciplinary Proceedings
- Procedure for Action in Case of Default
- Code of Conduct (Regulation 13)
- Model Disclosure Document
- References
- Review Questions
14. Credit/Debt Syndication Services
- Syndicated Loans
- Scope
- Syndication for Long-term loans
- Credit Syndication Services – Types
- Syndication for Working Capital Loans
- Debt Syndication Process
- Syndicated Loan Agreement
- Types of Facility Commonly Syndicated
- Parties to Syndicated Loan
- Documentation for a Syndicated Loan
- Timing
- Syndication Loan Transfers
- Forms of Loan Transfer
- References
- Review Questions
Bibliography
Index

Dr. Gurusamy is currently Professor and Head, Department of Commerce, University of Madras, Chennai.

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Description

Table of contents

Cover
Halftitle Page
Title Page
Copyright Page
Dedication
Contents
Preface
1. Merchant Banking – An Overview
- Definition
- Functions
- References
- Review Questions
2. Merchant Banking – Regulatory Framework
- SEBI Regulations
- Registration of Merchant Bankers
- General Obligations
- Inspection of Merchant Bankers
- Action Against Merchant Bankers
- Code of Conduct for Merchant Bankers (Under Regulation 13)
- SEBI Guidelines
- References
- Review Questions
3. Public Issue Management (PIM)
- Functions of PIM
- Mechanism
- Forms of Securities Issue
- Issue Manager
- Role of Issue Manager
- Activities Involved in Public Issue Management
- References
- Review Questions
4. Marketing of Equity Shares
- General Steps
- Public Issue Proposal – Factors
- Pricing of Equity Issue
- Law Relating to Marketing of Equity Shares
- Methods of Marketing Equity Shares
- E-IPO
- Post-Issue Activities
- References
- Review Questions
5. Prospectus
- Types
- Contents
- Regular Prospectus
- Part I
- Part II
- Part III
- Application Sans Prospectus
- Abridged Prospectus
- Prospectus for Rights Issue
- Disclosures under Malegan Committee Report
- Disclosures in Abridged Prospectus and Letter of Offer
- Deemed Prospectus
- Statement in Lieu of Prospectus
- Red-Herring Prospectus
- Information Memorandum
- Shelf Prospectus (Section 60 A)
- Misstatements in Prospectus
- References
- Review Questions
6. Underwriting Services
- Definition
- Underwriter
- Functions of Underwriters
- Underwriting Agreement
- Types of Underwriting Agreement
- Importance of Underwriting Services
- Kinds of Underwriting Services
- Mechanism
- Indian Scenario
- Underwriting Agencies
- Obstacles
- Variants of Underwriting
- Grey Market
- SEBI Guidelines
- Green Shoe Option (GSO)
- Stabilization Mechanism
- Green Shoe Option in Other Countries
- References
- Review Questions
7. Capital Market Instrument
- Meaning
- Types
- Preference Shares
- Equity Shares
- Non-Voting Equity Shares
- Convertible Cumulative Preference Shares (CCPS)
- Company Fixed Deposits
- Warrants
- Debentures and Bonds
- Global Debt Instruments
- References
- Review Questions
8. Depository Receipts
- Meaning
- Working Mechanism
- GDR in the Indian Context
- American Depository Receipt
- Indian Depository Receipts (IDRs)
- References
- Review Questions
9. Stock Exchange – An Overview
- History of Stock Exchanges
- Meaning
- Definition
- Functions/ Services/ Features/ Role
- Stock Exchange and Commodity Exchange Distinguished
- Indian Stock Exchanges
- Mode of Organization
- Membership
- Stock Exchange Traders
- Weaknesses
- Regulation of Stock Exchanges
- Steps in Stock Trading
- Mechanics of Settlement
- Stock Trading System
- Specialists
- Recent Developments
- Interconnected Stock Exchange of India (ISE)
- Indonext
- References
- Review Questions
10. National Stock Exchange (NSE)
- The Mission
- Trading Mechanism
- Listing Requirement
- Trading
- Corporate Structure
- Products
- References
- Review Questions
11. Over-the-Counter Exchange of India (OTCEI)
- OTCEI Vs. Other Stock Exchanges
- Over-the-Counter
- Need and Objectives
- Features
- Benefits
- Securities Traded
- Players
- Members and Dealers
- Sponsorship
- Registrars and Custodians
- Central Clearing Bank
- Monitoring Agencies
- Methods of Offering New Issues
- Trading Mechanism
- Settlement Procedure
- Slow Growth of OTCEI – Causes
- Revamping OTCEI
- Working of NASDAQ
- Changing Role of OTCEI
- Major Changes in OTCEI Functioning
- New Norms
- Utility of OTCEI’s New Listing Norms to Entrepreneurs
- OTCEI MoU with NASSCOM
- Revision in Composite Index
- Clearing and Settlement
- Technology
- References
- Review Questions
12. M & A Advisory Services
- M&A Advisory Services
- Concept of Merger
- Forms of Merger
- Related Connotations
- Hostile Takeover
- Merger – Types
- Mergers Vs. Takeovers
- Arguments in Favour of M&A
- Financial Evaluation of Merger
- Indian scenario
- Major Issues of M&A in India
- Merger Expenses
- Regulation of M&A in India
- Regulation of M&A Under the Companies Act
- References
- Review Questions
13. Portfolio Management Services
- Investment philosophy
- Investment Management
- Asset Management
- Portfolio Manager
- Discretionary Portfolio Manager
- Functions
- Strategies of Portfolio Manager
- Features of Portfolio Management services
- Need for Portfolio Management services
- Portfolio Management services Vs. Mutual Funds
- Role of Financial Advisor
- Products Under PMS
- Registration of Portfolio Managers
- Fees
- General Obligations
- General Responsibilities
- Investment of Clients’ Funds
- Maintenance of Books of Accounts, etc.
- Accounts and Audit
- Reports to be Furnished
- Report on Steps Taken on Auditor’s Report
- Inspection and Disciplinary Proceedings
- Procedure for Action in Case of Default
- Code of Conduct (Regulation 13)
- Model Disclosure Document
- References
- Review Questions
14. Credit/Debt Syndication Services
- Syndicated Loans
- Scope
- Syndication for Long-term loans
- Credit Syndication Services – Types
- Syndication for Working Capital Loans
- Debt Syndication Process
- Syndicated Loan Agreement
- Types of Facility Commonly Syndicated
- Parties to Syndicated Loan
- Documentation for a Syndicated Loan
- Timing
- Syndication Loan Transfers
- Forms of Loan Transfer
- References
- Review Questions
Bibliography
Index

Biographical note

Dr. Gurusamy is currently Professor and Head, Department of Commerce, University of Madras, Chennai.

User Reviews

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Rating