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Detailed Syllabus for SEBI Officer Grade A Recruitment Exam 2018

SEBI Syllabus

The SEBI Recruitment 2018 notification is recently out. This recruitment drive by Securities and Exchange Board of India (SEBI) is for the post of Officer Grade A (Assistant Manager) and a total of 120 vacancies in streams like General, Legal, IT and Engineering (Civil and Electrical) is announced. Planning to attempt SEBI Officer Exam 2018? Here’s the detailed syllabus for SEBI Grade A to get started with your preparation.

Syllabus for SEBI Officer Grade A – Phase I Exam

General Awareness

English Language

  • Error Spotting
  • Sentence Rearrangement
  • Reading Comprehension
  • Fill in the Blanks
  • Passages
  • Synonyms
  • Idioms & Phrases etc.

Quantitative Aptitude

  • Data Interpretation
  • Inequalities
  • Number Series
  • Approximation and Simplification
  • Data Sufficiency
  • HCF and LCM
  • Profit and Loss
  • SI & CI
  • Problem on Ages
  • Work and Time
  • Speed Distance and Time
  • Probability,Permutation and Combination
  • Mensuration
  • Average, Ratio and Proportion etc.

Reasoning

  • Puzzles
  • Seating Arrangements
  • Direction Sense
  • Blood Relations
  • Syllogisms
  • Order and Ranking
  • Coding-Decoding
  • Machine Input-Output
  • Inequalities
  • Alpha-Numeric-Symbol Series
  • Data Sufficiency
  • Number System and Conversions
  • Logical Reasoning etc.

Awareness of Securities Market

Securities Markets

  • Indian Financial system – introduction – structure – finance commission – financial administration – receipts of the Government – Expenditures of the Government.
  • Capital markets – primary market – instruments – legal issues and regulations – secondary market – stock exchanges – brokers – trading in stock exchanges – forward trading – stock index – depositories – regulations
  • Bond Market- Money market, G.sec Market, Corporate bond market, Bond valuation, Duration, sensitivity, risk
  • Foreign Exchange market – exchange control – fixation of exchange rate – exchange control in India – FEMA – foreign exchange transactions of commercial banks in India – currency convertibility – currency forwards, futures and options – trading in foreign exchange market – relationship between money market and foreign exchange market.
  • Commodity market, commodity trading and exchanges
  • International capital markets – instruments – Guidelines – foreign investment in India and its regulations.

Securities Law

  • Relationship between Company Law and securities law
  • Basic concepts related to securities law, like capital, public offer and securities
  • Historical Background of securities law
  • SEBI as a Market regulator, Powers and Functions of SEBI, Quasi legislative powers, executive powers and quasi-judicial powers
  • Regulating the intermediaries and Stock exchanges, Meaning and Type of securities, Securities Contract, Corporatization, Demutualization and regulation of stock exchange, Listing Agreement, Dematerlisation and Rematerlisation
  • Rights and duties of Depository (NSDL AND CSDL), Depository Participant, Issuer and beneficiary
  • Unpublished Price Sensitive Information (UPSI), Insider as connected person, Insider as the person having access to UPSI, Trading on the basis of UPSI
  • Mergers Amalgamation and takeovers, Types and legal processes during takeover, Substantial Acquisitions, Exemptions by law, Exemption BY SEBI
  • Public offer and disclosure requirements
  • Unfair Trade Practices in the securities market, Securities Market offences, Prohibition of Insider Trading
  • SEBI ICDR Regulations
  • Public Offer requirements
  • Role of SEBI as a Regulator
  • Securities Appellate Tribunal
  • Role of Courts in enforcing securities regulations

SEBI

Syllabus for SEBI Officer Grade A – Phase II Exam

Paper I

Securities Markets (General Stream)

  • SEBI as a Market regulator, Powers and Functions of SEBI, Quasi legislative powers, executive powers and quasi-judicial powers
  • Regulating the intermediaries and Stock exchanges, Meaning and Type of securities, Securities Contract, Corporatization, Demutualization and regulation of stock exchange, Listing Agreement
  • SEBI regulated entities: Stock-broking, Depositories, Depository Participants, Registrars and Transfer Agents, Merchant Bankers, Custodians, Debenture Trustees, Stock Exchanges, Clearing Corporations, Credit Rating Agencies, Alternative Investment Funds, Bankers to Issues, Investment Advisors etc.
  • Stock Broking – equity, derivative, commodity
  • Merchant banking services – capital issue management – pricing of issue -marketing of issues
  • Mutual funds: Indian History, Role, legal structure, Types of schemes and main features, Real estate MFs and Reits, InVits, Distribution of financial products and investment advice: issues, concerns and regulatory requirements
  • Commodity market, commodity trading and commodity exchanges
  • International capital markets – instruments – Guidelines – foreign investment in India and its regulations
  • Historical Background of securities law
  • Basic concepts related to securities law, like capital, public offer and securities
  • Relationship between Company Law and securities law
  • Rights and duties of Depository (NSDL AND CSDL), Depository Participant, Issuer and beneficiary
  • Mergers Amalgamation and takeovers, Types and legal processes during takeover, Substantial Acquisitions, Exemptions by law, Exemption BY SEBI
  • Public offer and disclosure requirements, SEBI ICDR Regulations, LODR Regulations
  • Unfair Trade Practices in the securities market, Securities Market offences, Prohibition of Insider Trading, Unpublished Price Sensitive Information (UPSI), Insider as connected person, Insider as the person having access to UPSI, Trading on the basis of UPSI
  • Public Offer requirements
  • Foreign Portfolio Investors: Their role, nature of investments in Indian Market, their impact on Indian Markets
  • Collective Investment Schemes: regulatory framework, main issues/ concerns, role of SEBI and other agencies
  • Securities Appellate Tribunal: constitution, recent important cases
  • Role of Courts in enforcing securities regulations

Paper II

English (Writing Skills)

The paper on English shall be framed in a manner to assess the writing skills including expression and understanding of the topic.

SEBI

Paper III

Economic & Social Issues and Finance & Management

Economic and social Issues
Growth and Development
  • Measurement of growth: National Income and per capita income
  • Poverty Alleviation and Employment Generation in India
  • Sustainable Development and Environmental issues. Economic Reforms in India
  • Industrial and Labour Policy
  • Monetary and Fiscal Policy
  • Privatization
  • Role of Economic Planning. Globalization
  • Opening up of the Indian Economy
  • Balance of Payments, Export-Import Policy
  • International Economic Institutions – IMF and World Bank
  • WTO
  • Regional Economic Co-operation.
Social Structure in India
  • Multiculturalism
  • Demographic Trends
  • Urbanization and Migration
  • Gender Issues
  • Social Justice : Positive Discrimination in favor of the under privileged
  • Social Movements
  • Indian Political System
  • Human Development
  • Social Sectors in India, Health and Education.
Finance and Management
Finance

(a) Financial System:

  • Money Market, Capital Market
  • Reserve Bank of India- functions and conduct of monetary policy, Banking System in India, Financial Institutions – SIDBI, EXIM, NABARD, NHB, etc.
  • SEBI – functions and role
  • Prevention of Money Laundering
  • Know Your Client Framework

b) Financial Markets:

  • Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments.

(c) General Topics:

  • Risk Management in Financial Sector Page 21 of 25
  • Basics of Derivatives: Forward, Futures and Swap
  • Changing Landscape of Financial sector
  • Recent Developments in the Financial Sector, Portfolio Investment, Public Sector Reforms, Disinvestments
  • Financial Inclusion- use of technology
  • Alternate source of finance, private and social cost-benefit, Public-Private Partnership
  • Corporate Governance in Financial Sector, role of e-governance in addressing the issues of corruption and inefficiency in the government sector
  • The Union Budget – Direct and Indirect taxes; Non-tax sources of Revenue, GST, Thirteenth Finance Commission and GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act (FRBM)
  • Inflation: Definition, trends, estimates, consequences, and remedies (control): WPI, CPI – components and trends.
Management:
  • Management: its nature and scope; The Management Processes; Planning, Organization, Staffing, Directing and controlling; The Role of a Manager in an Organization.
  • Leadership: The Tasks of a Leader; Leadership Styles; Leadership Theories; A successful Leader versus an effective Leader.
  • Human Resource Development: Concept of HRD; Goals of HRD; Performance Appraisal – Potential appraisal and development – Feedback and Performance Counselling – Career Planning – Training and Development – Rewards – Employee Welfare. Motivation, Morale and Incentives: Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale.
  • Communication: Steps in the Communication Process; Communication Channels; Oral versus Written Communication; Verbal versus non-verbal Communication; upward, downward and lateral communication; Barriers to Communication, Role of Information Technology.
  • Corporate Governance: Factors affecting Corporate Governance; Mechanisms of Corporate Governance.

Now, that you know the detailed syllabus. Start Preparing for SEBI Recruitment Exam with Oliveboard Mock Tests!


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