Transcript for:
Essentials of Financial Markets and SEBI

What's up everyone, welcome back to the channel. So guys, we have come today, Day 14 of our 21 Days Revision Series. And what a great way you have worked hard. Today we have reached the second last chapter of Business Studies. And tomorrow or day after tomorrow, our Business Studies will be over. So let's go and quickly put attendance in the comment section. Today we will study Financial Markets. Go and write Sir, Day 14 Done. And just 7 more days to go. Let's go quickly, let's begin. So, what is the name of the chapter? See, the name of the chapter is Financial Markets. And this is a very easy chapter. See, I tell you in very simple words that There are two types of people in our society. One is those who have a lot of money. That is, they have surplus funds. And they want that I do not keep my money at home. Either I keep it in the bank or I invest it somewhere where I get more returns. Who is the person running after? He is running after the return that how much percent will my money increase. Because according to 7% there is inflation, there is inflation. If you have 100 rupees today, then you need 107 next year. So inflation is happening. So the money should increase. Now I keep that money in the bank or I invest it in a company. So these are the people who are thinking who have surplus funds. There are other companies who want money. Who want the public to come and invest money in them. So one sector is that who has surplus funds. And one sector is that who needs money. Who are in need of funds. So here we can say that to combine these two sectors. There are two people who are working. One is the bank. If you keep your money in the bank as an individual, then the bank also invests this money further. The bank does not keep your money. You understand. If you put this money in the financial market, then you are directly investing in the companies. So what are financial markets? Financial market is a market for the creation and exchange of financial assets. This means you can go to this market and make assets or you can exchange. You already have some shares, some debentures, some securities, so you can sell them too. Right. After this, sir, how many types of financial markets are there? How many types of markets do we get to see? So kids, there are two types of markets around us. But before knowing the markets, you understand that which functions these markets perform. What are the functions of financial markets? So when we talk about functions, then the first comes to the allocative function. This is very important. Sir, what is allocative function? Allocative function means allocating your fund. Allocate means if you have kept it at home, then it is not increasing. It is increasing and its value is decreasing. So if you keep it in the market, then your money is used by the business in the market. If you use the business, then you earn profits. If you earn profits, then you also get a share of it. That is where you earn return. Return on investment. Where you make money. So your money was ideal, you put it in a good place. This is the work of the market which we call allocative function. The second is price discovery. What is the work of the market? Discovering the price, safety of transactions. Along with that providing flexibility. So I will tell you all the things. We understood the allocative function. Now understand the price discovery. In the market, the price of your shares is discovered. Sir, how is the price discovered? We do one thing. We see that how much is the demand of securities and how much is the supply of securities. In the same way, there are demand and supply curves. Where they intersect, the rate in front of it, we consider the security rate. So in this way, the market helps with demand supply. In doing pricing of securities. If the demand of any security is increasing a lot, then the demand curve will go to the right. Now this will be the new equilibrium. So the rate also increases. If the demand is decreasing, then it will come down. This equilibrium will come. So the rate will also decrease. So in this way, the price is discovered with the help of demand and supply. The third job of the market is to take care of safety. That your money should not be in such a place from where you will incur loss. No company should take your money and go. So the market is very careful. Who will be allowed to raise funds there and who will not. The fourth is providing flexibility. Providing flexibility means that the market allows you. That you can invest here and you can also disinvest. Invest means that you can invest money and also withdraw money. So your money gets flexibility. After that, we say one more thing, providing information. If you need any information about any company, any resource. So you can easily find it in the market. So these are all functions that the financial markets perform. If you want to take a screenshot of this, then take it. Otherwise, you have to read it once from the book. Done Sir. Now how many types of markets are there? So there are two types of markets. One is the money market and one is the capital market. Sir, what is the money market and what is the capital market? Look, understand this that we have three types of instruments in the market. When we divide them on a time basis. Short term, medium term, long term. The instruments that are converted in cash within a year are short term. We normally call 1 to 5 years medium term. And we normally call 5 to 20 years long term. So the money market is the market in which only those funds will be there. Which you are investing for short term. So the money market is that market for short term funds. Which deal in monetary assets whose maturity period is up to 1 year. So if you want to invest your money for a year, then money market is the place. If we talk about medium and long term there, then it is the capital market. It refers to facilities and institutional arrangements through which medium and long term funds, both debt and equity are raised. Now I will tell you some more small things about them. So that you forget. First of all you came to know that money market is for short term. This is for medium and long term. Second thing to keep in mind is that only debt instruments work in this. Only debt works. In this, you have debt and equity. Means here you can become a creditor for the company and also become an owner. So only debt will work in this. Debt and equity will work in that. Third thing is that these are unsecured. All the instruments here are unsecured. And all the instruments here are normally secured. They are backed by securities. After this, because the time period is less here, it is comparatively less risky. Here the time period is more, so it is comparatively more risky. You gave a loan to someone for 6 months or 20 years. So the financial condition may deteriorate more in 20 years. That is more risky. So these are 3-4 things that you should know about money markets and the capital markets. Done Sir. Now see what we have first. What are the participants in the money market? Normally, it is not public because the public does not invest for a short term. So what is written here? See we have RBI, financial institutions, banks, corporates in this. In the capital market, normally financial institutions, banks, corporates, foreign investors and retail investors are also there. What are the instruments in this? In this, normally the instruments you should know the name. The name should be known mainly. There is a treasury bill, commercial paper, certificate of deposit, call money. Now I will tell you all the things once. Treasury bill is if the government needs money. So the government tells RBI to issue some securities on our behalf. That is called treasury bill. Commercial paper is when a company needs money for short term. Certificate of deposit is when a company, when a bank raises money from the public, that is called certificate of deposit. Call money is when interbank, one bank raises money from another bank, that is called call money. This is not mentioned in our syllabus but I have told you. Once you want to put a reading, you can put. In this, shares, debentures, bonds run. Investment outlay, investment outlay means the price of the security, how does it stay? In this, usually large amount is there, big amount is there. In this, small amount is there. After that duration, this is short term, medium and long term. Liquidity, this is highly liquid, it is comparatively less liquid. Safety, this is comparatively safe because risk is less, there risk is more. After that return, in this return will be less because duration is less. In that return will be more because duration is more. So these are the difference between money market and capital market. After that, our capital market is divided into two parts. Sir, which two parts? One is primary market and one is secondary market. What is primary market? Primary market is when a company is issuing security for the first time. Means you as an investor are buying security directly from the company. So in which market it will be called? In primary market. When the company sold there, then it was sold before, you could not buy. Now you went to the market, you already sold it to an investor, you bought from an investor. Company has no role there, it means you bought second hand security or old security. So whenever this will happen, then all this work will be in secondary market. So primary market is that market where securities are issued for the very first time. Where the parties involved are on one side company and on the other side investor. There secondary market is that market where securities are offered second hand. Here both the parties are investors, the buyer and the seller. So what is written? It deals with new securities. It is a market for purchase and sale of existing securities. Only buying takes place because here you can only buy from the company. Here buying and selling are both. Securities are sold to investors directly. Here normally the company is selling. There dealing is happening between investors, there is no relationship of the company. Here the flow of funds are savers to investors. There only liquidity is happening, one person is selling and one person is buying. Here prices are decided by the management. That means the company decides the price for the first time. Here the price is adjusted by the demand supply. It has no fixed location, everything is done over the internet, online. This market has locations. You can see the secondary market physically. Its other name is new issue market, we call it stock market or stock exchange. Right, let's go sir. After this, what is a stock exchange? What is a stock exchange or stock market? So stock market is a platform, I told you above, Stock exchange is called secondary market. It is a market or a platform where you can buy, sell, sell shares, debentures, bonds, any security. If you have some excess funds and you want to not earn 6% from this money in the bank, I will earn a little more, 8%, 10%, 15%, 20% more than that. By calculating, by calculating, by looking at the financial, So there kids, stock exchange is a place where you can purchase shares for sale. And you can grow your money. And companies get money, who need money to do business. What are the functions of stock exchange, kids? First of all, what does stock exchange provide? It provides liquidity. See, it is also a kind of market. And above, the functions of the market, the features were read, they are also applied here. Provides liquidity, your securities are provided with liquidity and marketability. After that, there is pricing of securities here. Pricing means that you can decide the price from the demand supply factor. Safety of transactions, I told you above, special attention is paid. That brother, the investor who is investing money, his money should not be lost at all. After that, kids, contributes to economic growth. There is a lot of contribution in the growth of the economy. Because when you invest money, it goes to the companies. What does the company do? It does business with it, develops infrastructure, makes projects. So you are contributing somewhere in the growth of the economy. Spreading of equity cult, spreading of equity cult means that the market here, awareness about equity, spreads culture, spreads word. So people know, people learn to invest. Provides scope for speculation, market also gives you the scope of speculation. Speculation means that you can buy securities at a low rate and sell them when they are expensive. You can book a profit in between, we call this speculation. Okay kids, so all these functions came of the stock exchange. You should know the basics. After this, objectives of SEBI comes. Now first of all, we will know the meaning of SEBI. After that, I will tell you all these things. First of all, understand who is SEBI? Who do we call SEBI? Okay, look, SEBI's full form is Securities and Exchange Board of India. Sir, what is Securities and Exchange Board of India? It is a very important topic, it is definitely in the paper. What is happening, sir, this is the Securities and Exchange Board of India. Look kids, we have all the work in the stock market. All the work is happening. Now there will be such people in the stock market who can do fraud somewhere. There will be such companies in the stock market that can run away with money somewhere. With investors in the stock market, there can be such intermediaries. Because look, no company directly issues its funds. There is some intermediary in between which we call broker. Right, so that too can do fraud somewhere in any way. So if I have to understand, then the thing to pay attention to here is that there should be some body to look after this market. That there should not be fraud in this market. There should be some body to keep an eye on this market. That no one should be robbed in any way here. So such a body was established which takes care that everything is very transparent in the market. Everything is happening very well in the market. There is flexibility in the market and people are also being made aware of their rights and responsibilities. So such a body which is doing all this work is called SEBI. Whose full form is Securities and Exchange Board of India. After 1992, all this development happened and SEBI came into function. Now look here what are the functions of SEBI. First of all, take objectives or purpose. What are the objectives? Why was it set up? Number 1, to regulate stock exchange. Regulate means to make rules and regulations. That whatever work is happening, how should it be done. After that, protect rights and interest. To save rights and interest. Interest means interest of investors and people who do not know anything. To guide them, to educate them. With that, to stop malpractices. Malpractices means that if any kind of fraud is happening, to stop it. After that, to regulate and develop code of conduct. That is to make a code, to make a conduct. To make rules and regulations of fair practices. So basically we have SEBI's objectives. So SEBI is such a body which works on such things. After that comes the functions of SEBI. Children are very important in functions. We have 3 functions. I say doctor protective. Sir, what does doctor protective mean? D means developmental. R means regulatory. And protective as it is protective. So I call it doctor protective. Now what does SEBI do in protective function? If functions will come for sure in exams, then please do it very carefully. Sir, what will it do in protective? See, it is written in the name protective. Protective means to protect. Sir, how will SEBI protect? First of all, SEBI stops fraudulent and unfair trade practices. Like no company should make misleading statements. Should not do manipulation. Should not raise and lower the price. Should not make any intermediary share certificate fraud. So what does SEBI do? It tries to stop such frauds. Keeping a very good eye. That is working properly with transparency or not. So this will be the protection of the investor. Second, controlling insider trading. Now sir, what is insider trading? Insider trading is, children, People who work inside the company. They know about the company's policies. About the company's future decisions. About the company's future growth. So many times they take advantage of this information. Take benefit. Sir, how do they take benefit? Now they work inside the company. So they are not allowed to buy the shares of the company directly. So what they do? This information is passed on to a friend. To any relative. To any known person. That the company is going to do this. So the price will increase in the future. You invest this much money. Half will be your profit and half mine. So this is called insider trading. Now SEBI says this is wrong. Because this is cheating with a normal investor. You have already circulated the inner thing outside. Spread this information among people. Because of which some people benefited. And some people remained like this. So here it is said that this thing is wrong. So that's why SEBI tries to stop this insider trading. And those who are found doing this. They are penalized. After that SEBI tries that everything should be done in a fair way. Nothing should be unfair. Code of conduct should run well. After that SEBI takes all kinds of steps for investor protection. In whichever way SEBI has to save the investor. So all these things come under our protective functions. Remember that in case study it will be necessary to identify. Which function SEBI has performed here. So if it comes that insider trading is being stopped. So we will say that this is a protective function. Ok Next comes developmental function. Developmental means to develop. Now how to develop the stock market. First of all training should be given to intermediaries. Sir who are intermediaries? All the brokers. All the sub brokers. All the people who are working in between. Training all of them. Setting research on them. Doing market research. Publishing information. Making people aware about the markets. So there will be development overall. Along with that taking measures to develop capital markets. By adapting a flexible approach. Developing capital markets more. Which are capital markets kids? Medium and long term. Developing them more. By adopting a flexible approach. Regulatory functions are very simple. Making rules and regulations. Sir how will rules and regulations be made? For rules and regulations kids. First of all registration of brokers should be done. So registration of brokers and sub brokers. This is a rule. Registration should be done of collective investment schemes and mutual funds. Registration of all the mutual funds and schemes. After that making regulations for stock brokers. For portfolios and exchanges. After that kids. Regulation of takeover bids of the company. If a company is taking over another company. Then what will be its rules and regulations. Keeping that in mind. Calling for information by undertaking time to time inspections. Setting inquiries. Setting audit. This comes under rules and regulations of SEBI. After that if you have to charge a fee in any way. Then do that too. So basically this code of conduct has been developed. Rules and regulations have been developed. So that whatever work is there in the market. It should be with a lot of transparency. With originality. With flexibility. Okay. These SEBI kids have three functions. I hope you have revised all three functions well. Remember doctor protective. Developmental. Regulatory. And protective. Okay. After this comes kids. If you have to do screen based trading. Or you have to buy or sell shares. So what is the trading procedure? How does the trading procedure work? Okay. So the first step in the trading procedure. That is that the investor has to approach a broker. And have to open an account. Which is called Demat account. So first of all you have to select a registered broker. Keep in mind. The investor has to approach a registered broker. Sir where should be registered? Near SEBI. Okay. Sign a broker client agreement. We will sign a broker client agreement. Okay. After this. Now my broker. He will sign a client registration form with me. Okay. That brother okay. You will register with us. You will be my client. And I will help you in all your trading. I will help you in investing. Okay. He will take certain details from me. Like PAN. Right. Apart from that my bank details have been done. Apart from that I have no account with any other broker. What is the address? One will be my KYC. Do you understand KYC? Know your customer. This can come. What is the full form of KYC? That is know your customer. Okay. Now after taking all this. What will the broker do? He will open a Demat account. Okay. The investor has to open a Demat account. Sir what is the meaning of Demat? Dematerialized. Dematerialized means online. Earlier everything was in paper. So it was called material. Nowadays everything was online. So it is called Dematerial. The second name of this is beneficial owner account. Now like if you want to keep money. So your account opens near the bank. Similarly if you want to keep shares. So who has a Demat account? It is a body like a bank. Its name is depository. Okay. So in our country there are two depositories. Remember CDSL and NSDL. Okay. CDSL and NSDL. Their full forms are very important. When I first taught in detail. So I have told you the full forms. Tell me in the comments quickly. What is CDSL and NSDL? Let me check how many children remember. Okay. See now Demat account will open. After that whatever you want. You place your order. Whether you want to buy or sell shares. Okay. When you place your order. Then your broker will go online. Will go to stock exchange and match. That brother the best price. Whether that share is available or not. Shares can be bought or sold. Okay. When he will get the best price. Then he will give you a trade confirmation slip. That brother take it. Your trade is done. Okay. And after the trade. Within 24 hours. He gives you a contract note. Contract note is a legal document. In which everything is written. How many shares you have bought. How much money you have bought. How much brokerage of the broker. Everything. And here your whole process. Is over. So in this way. This is called trading procedure. Okay. See what is written in it. The investor has to deliver the shares sold. And pay cash for the shares bought. Now you have to do this. Brother if you have bought the shares. Then you have to pay money. If you have sold. Then you have to pay the shares. Cash is paid. And securities are delivered to the stock exchange. By the broker. On pay in day. Which is before the transaction plus 2 day. What does this mean kids. Pay in day means. Either you are giving money. Brother if you are buying. Then you are giving money. And if you are selling. Then you are giving shares to the broker. That brother hold this. This is pay in day. Okay. And when its final settlement happens. Then it is called pay out day. What is written ahead. On the t plus 2. T means transaction. This means the day you have done the transaction. Within two days of it. Nowadays it is immediate. It is online. It happens quickly. But a time limit has been given. T plus 2 day. Stock exchange delivers your shares. Or pays you. This is called the pay out day. The other broker makes the payment to the investor. Within 24 hours. Broker will make a delivery of shares. In Demat form. Directly to the investors Demat account. Shares come directly to your Demat account. Okay. What is Dematerialization? I have told you this. A process where all the securities. In physical form. They are cancelled. And they are transferred. In online form. This is called Dematerialization. Okay. Now this is mainly done. Why is it done? All the problems. Related to share certificates. In physical form. Like theft. Fake certificate. Being late in transfer. Paperwork related share. Paperwork used to be very much. So to avoid all this. Dematerialization. Nowadays everything is online. After this comes depositories. Here. NSDL, CDSL. Match it. How many depositories are there in our country? There are two depositories. National Security Depository Limited. Central Depository Services Limited. All the depository participants are there. Sir what is depository participant? See this depository. Doesn't come directly in touch with you. Their intermediary. Or say their agent. Their agent is called depository participant. Which is normally brokers. Now broker can be individual. Can be any firm. Can be any company. Can be any broker. Can be anyone. Should be semi-registered. So these people. There will be intermediary in between. Will contact intermediary. Intermediary will contact you. This is how this whole process works. Just like a bank. Keeps the money in safe custody. Depository keeps securities in the safe custody. Okay. There are two depositories. CDSL and NSDL. Perfect. Very good. With this. Financial markets also. We end. And now only one chapter is left in business studies. Which is called financial management. We will see it tomorrow. If it happens tomorrow, then we will finish it tomorrow. Otherwise, we will finish it the day after tomorrow. So keep reading in this way. Keep doing revision. Don't miss the class. Only 7-8 days are left. These 7-8 days are going to be very magnificent. And your whole. All three subjects. Accountancy, Business Studies, Economics. All of them will be finished. Right. After this, all the children who are EP. Entrepreneurship. Don't worry. As soon as this series ends. I will bring the EP series. I know. You have an exam on 15th. So we will do that very well. Alright. Thank you so much everyone. For joining in. I am going to see you all super soon. Till then see ya. Take care. Bye-bye.