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Introduction
The Government has set up the Securities & Exchange Board of India (SEBI) in April, 1988. for more than three years, it has no statutory powers.

Its interim functions during the period were

(i) to collect information and advice the Government on matters relating to Stock and Capital Markets

(ii) Licensing and regulation of merchant banks, mutual funds etc.

(iii) to prepare the legal drafts for regulatory and development role of SEBI and

(iv) to perform any other functions as may be entrusted to it by the Government.

As referred to earlier, malpractices have been reported in both the primary market and seondary market. A few examples of malpractices in the primary market are as follows:

a. Too many self style Investment Advisors and Consultants.
b. Grey Market or unofficial premiums on the new issues.

c. Manipulation of market prices before new issues are
floated.

d. Delay in allotment letters or refund orders or in despatch of
share certificates.

e. Delay in listing and commencement of trading in shares.

A few examples of malpractices in the secondary Market are as
follows:

a. Lack of transperancy in the trading operations and prices
charged to clients.

b. Poor services due to delay in passing contract notes or not
passing contract notes, at all.

c. Delay in making payments to clients or in giving delivery of
shares.


Security Exchange Board of India MBA Guidelines