1. Institute Committed for
Safeguarding Interests of Investors

2. Directly or Indirectly

3. Be it through FI, FII, VC, MF, Banks,
Societies, or any other mode

4. Capital comes from Savings of
household Investors

5. Hence Investor Education and
Protection is VITAL

6. Realising the Needs of Investors

7. SEBI and ICSI have taken number of
initiatives

8. ICSI Initiatives for Capital Market
Role of Company Secretaries in Capital
Market
Organising Investor Education Programmes
Establishment of Investor Clinic
Useful Information Material on Website of
the Institute
Online Investor Grievance Software

9. Company Secretaries in Capital Market
Services Provided by Company Secretaries
 Securities Management and Compliances
 Corporate Governance for Capital Market Intermediaries
CS Course has an exclusive paper on Securities
Laws and Regulation of Capital Markets
Management Training in
 Stock Exchanges
 Intermediaries
Post Membership Qualification (PMQ) Course in
 Capital Market and Financial Services
 Corporate Governance

10. Investor Education Programmes
Our Target
Across India “To hold investor
education
Joint Programmes programmes in 60
with UP Stock Chapters of ICSI
Exchange across India by
– Lucknow
31st March 2004”
– Kanpur
Joint Programmes
with Delhi Stock
Exchange
– Karnal
– Panipat
– Ambala
– Chandigarh

12. ICSI Investors Clinics
comprise of panel of
Company Secretaries and
are established at all our
Regional Councils and
major chapters.
SERVICES TO INVESTORS
Advice with respect to: • Providing standardised
formats
- Transfer, transmission,
nomination of shares or other • Organising Investor
securities Education Programmes
- Rights of investors • Publishing hand-books/
- Various forums available for pamphlets
Redressal

13. CHAPTERS
• Agra
• Ahmedabad
• Chandigarh
• Faridabad
REGIONAL COUNCILS • Gaziabad
• Howrah
• Chennai
• Indore
• Delhi • Patna
• Kolkata • Pune
• Ranchi
• Mumbai
• Vadodra

14. Accessing Investor Clinics
The details of Investor Clinics in available on
the Website of Institute
www.icsi.edu
The Investors can approach Investor Clinics
for guidance and advise regarding capital
market, their rights, various procedures, etc.

15. www.icsi.edu
• Investor Clinics
Details
• Useful Information
for Investors
• Information about
various programmes
all over India
• Links to various
authorities

16. Online Investor Grievance Software
– Rights of investors on
investment related queries
and problems
– Appropriate regulatory
Online Investor
authority to be approached
Grievance Software for specific problems
– A directory of latest
addresses of various
regulators and capital
market intermediaries
– Standardised formats of
letters to be sent by
investors

17. SEBI Road Ahead
Traversed with ICSI

18. Road Ahead for SEBI Traversed with ICSI
Corporatisation and Advisory Services
demutualisation of stock Management/ governing
exchanges expertise
Strengthening of corporate National Award for Excellence
governance through evaluation in Corporate Governance
of form and measurement of Corporate Governance Rating
wealth creation, wealth methodology
management and wealth Yardstick book on corporate
sharing governance
Training for directors and
members
Setting up of investor We have already set-up
protection corporation Investor Clinics
Investor Grievance Model
Software

19. Road Ahead for SEBI Traversed with ICSI
Educating investors about the Educating Through
securities market -Investor clinics
-Organising Investor
Education programmes
-Creating awareness about
new products such as
derivatives, digital signature
in securities transaction, etc
-Designing investor friendly
publications
Strengthening risk Advisor
management system of Compliance Officer
corporates
Improving the quality of Compliance Audit of
intermediaries and corporate Intermediaries
governance at intermediaries Training of intermediaries

20. Road Ahead for SEBI Traversed with ICSI
Strengthening regulatory Audit of disclosures under
transparency Listing Agreement
Secretarial Standards
Creation of market intelligence Company Secretary himself
network and strengthening acts as compliance officer of
surveillance and enforcement the company and ensures
inbuilt surveillance and
enforcement
Development of active Investor awareness
corporate bond market
Use of digital signatures in Training and education of
securities transactions Investors and intermediaries

21. Road Ahead for SEBI Traversed with ICSI
Development of self regulatory Knowledge Sharing
organisations (SROs) in Formulating practices and
securities market procedures
We Traverse Together

22. Corporate Governance is at the
Heart of Investment Decisions

23. Company Secretaries are at the
Heart of Corporate Governance

24. Our Vision
“To be global leader in
development of professionals
specialising in
corporate governance”

25. Corporate Governance for ICSI
”Corporate Governance is the application of
best management practices, compliance of
law in true letter and spirit and adherence
to ethical standards for effective
management and distribution of wealth and
discharge of social responsibility for
sustainable development of all
stakeholders”

26. ICSI Initiatives for Corporate Governance
ICSI National Award for Excellence in Corporate
Governance
Professional Development Programmes
Member Trustee of National Foundation for
Corporate Governance of Ministry of Finance
Introduction of PMQ Course in Corporate
Governance
Formulating and issuing Secretarial Standards
Model Formats for Corporate Governance Reporting
Chartered Secretary Journal
ICSI Centre for Corporate Research and Training

27. ICSI
NATIONAL AWARD FOR
EXCELLENCE
IN
CORPORATE
GOVERNANCE
Promoting Good Governance In Indian
Corporate Sector

28. Continuing Education Programmes
Special Programmes on:
– Corporate Governance
Regular Programmes
– Capital Markets
– Conventions and Conferences
– Securities Laws
– Seminars and Workshops
– Central Listing Authority
– Study Circle Meetings
– Compliance of Listing Agreement
Collaborative Programmes with – Compliances by Intermediaries
– Government and Regulators – E-IPO
– Industry Associations – Simultaneous Listing
– Chambers of Commerce – EDIFAR
– Sister Professional Bodies – Online Filing and Digital
Signature
– Take Over Code
– Insider Trading
– Merger – Demerger
– Buy Back and Delisting
– Depository Participant

29. PMQ Course in Corporate Governance
Objectives Course Coverage
Paper 1
“To provide expert Conceptual Framework of Corporate
knowledge to Governance
Paper 2
understand, analyse
Corporate and Board Management
and apply the
Paper 3
principles and Legal and Regulatory Framework of Corporate
practices of Good Governance
Corporate Paper 4
Governance in real Board Committees and Role of Professionals
life situations .“ Paper 5
Corporate Governance - Codes and Practices
Dissertation/ Project Report

30. Formulating and Issuing
Secretarial Standards
Objective: “To
integrate, harmonise, and
standardise the diverse secretarial practices for
good corporate governance.”
ICSI is the only professional body in the world to issue Secretarial Standards
Secretarial Standards are Secretarial Standards issued by
developed: the ICSI:
• in a transparent manner • SS-1 Meetings of the Board of
• after extensive research Directors
• after taking views of corporates, • SS-2 General Meetings
regulators and the public at • SS-3 Dividend
large Guidance Note on Passing of
Resolution by Postal Ballot

31. Model Formats for Corporate Governance
Reporting – Better Information to Investors
• Original research covering
1700 companies
• Covering best practices and
formats for better Corporate
Governance

32. Chartered Secretary Journal
Containing
• Articles on
-Corporate Governance
-Capital Market
-Corporate Laws
-Management
• Useful Information for
Investors
• Information about various
programmes all over India
• Case laws and Notifications

33. ICSI Centre for Corporate Research and
Training (ICSI-CCRT)
Mission: “A Centre to create a core of excellent corporate
professionals for corporate excellence and contribute to the
emergence of India as an economic superpower.”
RESEARCH in following areas: INFRASTRUCTURE:
• Corporate Governance • Situated at Navi Mumbai
• Corporate Laws • 180 capacity hall with latest
• Management equipments
• Capital Markets • Two 50 Seat Conference Halls
• Intellectual Property Laws • Six Classrooms
• International Business • Two Computer Labs & Library
• Arbitration and ADRs • Residential Wing - 22 Room with
AC

34. Finally, ICSI stands for

35. Institute Committed for
Safeguarding Interests of Investors