B.Com. (Investment Management) Investment Laws and Regulatory Framework Syllabus - Mumbai University 2026
This is the SY BCom IM syllabus under NEP 2020, in force from the academic year 2025-26. The University still sets the earlier Choice Based papers alongside it for ATKT candidates, so check which scheme your exam form names before you revise.
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Syllabus for Investment Laws and Regulatory Framework
Module I: Legal Framework and Regulatory Authorities ( important sections only)
- Subunit 1.1: Introduction to Investment Laws
- Need and importance of investment laws
- Legal principles governing investments
- Overview of financial regulatory structure in India
- Subunit 1.2: Regulatory Authorities and Their Roles
- Securities and Exchange Board of India (SEBI) regulations
- Reserve Bank of India (RBI) guidelines on investments
- Insurance Regulatory and Development Authority of India (IRDAI) and Pension Fund Regulatory and Development Authority (PFRDA)
Module II: Key Investment Laws and Compliance ( important sections only)
- Subunit 2.1: Major Investment Laws in India
- Securities Contracts (Regulation) Act, 1956
- Companies Act, 2013 and its relevance to investments
- Prevention of Money Laundering Act (PMLA) and its impact on investments
- Subunit 2.2: Investor Protection and Corporate Governance
- Provisions related to investor protection under SEBI regulations
- Corporate governance norms and ethical investment practices
- Dispute resolution mechanisms and penalties for non-compliance
Reference Books
- 1 Legal Aspects of Banking and Investment Laws – Indian Institute of Banking & Finance (IIBF)
- 2 Securities Laws & Capital Markets – N.S. Zaveri
- 3 SEBI Act, Rules & Regulations – Taxmann
- 4 Investment Law and Financial Regulation in India – Sandeep Bhalla
- 5 Legal and Regulatory Aspects of Banking – IIBF
Reproduced from the University of Mumbai syllabus for B.Com. (Investment Management) under NEP 2020, in force from the academic year 2025-26. Wording is as printed in that syllabus. Module numbering is as printed there too.
The complete syllabus
This subject is cut from the University circular for its year. Open a document here if you want the whole thing rather than a single subject.