Master of Commerce (M.Com.) Financial Regulatory Authority Syllabus - Mumbai University 2026

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Syllabus for Financial Regulatory Authority

Elective course · Semester 2 · M.Com. Banking and Finance · 4 credits · 100 marks

Module I: (2 CREDITS)

Unit 1 Reserve Bank of India (RBI)
a Concept of RBI, Institutional Growth of RBI, Evolution of RBI, Role of RBI in regulating Banking and Finance, Contemporary Issues, Autonomy and Independence, Credibility, Accountability and Transparency of RBI. Supervisory
Role of RBI- Regulation and Supervision: Need for Regulation and Supervision.
b Banking Regulation Act, 1949, Banking Regulation and Supervision, Functions
of the Department of Supervisory, Regulations Review Authority, RBI – On-site
Inspection and Off-site Monitoring and Surveillance: The Core Principles for Effective Supervision – On-site Examination – Off-site Surveillance– On-site
Inspection and Off-site Monitoring in India
Unit 2 Security and Exchange Board of India (SEBI)
a SEBI: The Securities and Exchange Board of India Act, 1992- Objectives-terms- establishment-powers-functions-accounts and audit- penalties –registration.
b Registration of Stock Brokers, Sub - Brokers Issues of Disclosure Investors
Protection Guidelines: Pre & Post obligations-conditions for issue-Debt Security- IPO-E-IPO-Employee option-right-bonus-preferential allotment intermediary- operational-promoter lock in period requirements-offer document.

Module II: (2 CREDITS)

Unit 3 Insurance Regulatory and Development Authority of India (IRDA)
a Concept of IRDA, Institutional Growth of IRDA, Evolution of IRDA, Role of IRDA
in regulating Insurance and Finance.
b Contemporary Issues, Autonomy and Independence, Credibility, Accountability
and Transparency of IRDA. Duties, powers and functions of IRDAI, Role of IRDA in regulating Life Insurance, General Insurance and Health Insurance
Unit 4 Other Regulatory Authorities in India
a MCA (Ministry of Corporate Affairs) Concept, History, Roles & Responsibilities in regulating the corporate sector specially administration of the Companies Act 2013, and The Limited Liability Partnership Act, 2008
b PFRDA Pension Funds Regulatory and Development Authority (PFRDA): Concept, structure, History, Functions of the PFRDA. Association of Mutual Fund in India
(AMFI)- Concept, History, Objectives, role of AMFI in regulating Mutual Fund in India.

References

Indian Financial System by Bharati V. Pathak.
Theory and Practice of Central Banking in India- V.A.Avdhani, Second Edition, Published by Somaiya Publications Pvt. Ltd.
Reserve Bank of India, Various Reports, RBI Publication, Mumbai.
Mamta Bhargava – Compliances and Procedures under SEBI Law
V.L Iyer – SEBI Practice Manual - Taxmann
Mutual Fund in India by Daryab Sigh, Rajat Publication, 2021

Reproduced from the University of Mumbai syllabus for M.Com. (Banking & Finance) under NEP 2020, in force from the academic year 2023-24. 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 specialisation. Open a document here if you want the whole thing rather than a single subject.

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