WHO REGULATES WHICH TYPE OF ENTITY
Given below is a list of types of intermediaries/service providers in the financial market.
The names of the relevant regulatory bodies are given in the second column.
The names of the relevant regulatory bodies are given in the second column.
ENTITY
|
REGULATOR
|
AUDITORS
|
The Institute of Chartered Accountants of India (ICAI) / Controller & Auditor General of India (CAG)
|
BANKS
|
Reserve Bank of India (RBI)
|
BANKS-ISSUE COLLECTION
|
Securities & Exchange Board of India (SEBI)
|
CHIT FUNDS
|
RBI / Registrar of Chit Funds
|
COMPANIES-ALL
|
Ministry of Corporate Affairs (MCA) / Registrar of Companies (ROC)
|
COMPANIES-LISTED
|
MCA / ROC / SEBI /Stock Exchanges
|
COMPANIES SECRETARIES
|
The Institute of Company Secretaries of India (ICSI)
|
CO-OPERATIVE BANKS
|
RBI
|
COST ACCOUNTANTS
|
The Institute of Cost and Works Accountants of India (ICWAI)
|
CREDIT RATING AGENCIES
|
SEBI
|
CUSTODIAL SERVICES
|
SEBI
|
DEBENTURE TRUSTEES
|
SEBI
|
DEPOSITORIES
|
SEBI
|
DEPOSITORY PARTICIPANTS
|
SEBI
|
FINANCIAL & INVESTMENT CONSULTANTS
|
___
|
FOREIGN BROKERS
|
SEBI
|
FOREIGN DEBT FUNDS
|
SEBI
|
FOREIGN INVESTMENT INSTITUTIONS
|
SEBI
|
INSURANCE BROKERS /AGENTS
|
Insurance Regulatory & Development Authority (IRDA)
|
INSURANCE COMPANIES
|
IRDA
|
INVESTMENT BANKERS
|
SEBI
|
INVESTOR ASSOCIATIONS
|
SEBI
|
MUTUAL FUND BROKERS /AGENTS
|
Association of Mutual Funds of India (AMFI)/ SEBI
|
MUTUAL FUNDS & ASSET MANAGEMENT COMPANIES
|
SEBI
|
NBFCs
|
RBI
|
NEWSPAPERS & MAGAZINES
|
Press Council of India (PCI)
|
PLANTATION COMPANIES
|
SEBI
|
PORTFOLIO MANAGERS
|
SEBI
|
PRIMARY DEALERS
|
RBI
|
RADIO
|
Ministry of Information & Broadcasting (MIB)
|
REGISTRARS & SHARE TRANSFER AGENTS
|
SEBI
|
SOLICITORS & LEGAL ADVISORS
|
Bar Council of India (BCI)
|
STOCK BROKERS
|
SEBI
|
STOCK EXCHANGES
|
SEBI
|
SUB-BROKERS
|
SEBI
|
TV
|
MIB
|
VENTURE CAPITAL FUNDS
|
SEBI
|
Golden Words
- THE FIRST STEP TO KNOWLEDGE IS TO KNOW THAT WE ARE IGNORANT.
- DILIGENCE IS THE MOTHER OF GOOD LUCK.
- THE GREATEST REMEDY FOR ANGER IS DELAY.
- WE FIRST MAKE A HABIT AND THEN OUR HABITS MAKE US.
- HEALTH IS THE GREATEST OF ALL POSSESSION; A PALE COBBLER IS BETTER THAN A SICK KING.
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