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One of the major areas for practice that is available for a company secretary to explore is the vast field of securities law. To make sure that a CS can live up to the expectations of professionally handling the securities law, the paper of Corporate Funding & Listings in Stock Exchanges has been included in the CS curriculum. This paper is placed under the third module of the Professional Programme. Here in this article, we will be discussing how to prepare for the same. Here you will find the following ;

  1. Study Tips for preparing the paper
  2. Preparing Summary Notes
  3. How to study Part I of the paper
  4. How to study Part II of the paper
  5. How many hours a day you must study

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Overview of the Subject:

Corporate Funding & listings in Stock Exchanges has been divided into two parts as follows:

  • Part I: Corporate Funding (weightage 60 marks)
  • Part II: Listing ( weightage 40 marks)

Relevance of this subject:

A Company Secretary plays a vital role in raising finance for a company. Further, the corporates in India look upon a CS to provide impetus, guidance and directions for raising funds from different source and to advise the board on the regulatory compliance for raising funds. The Company Secretary being a compliance officer of the company and senior management personnel plays a vital role in listing of the securities on the stock exchanges in India and abroad as well.

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Objective of ICSI behind introducing the paper:

  • Part I: To provide practical knowledge of means of finance available to corporates at their various stages of journey, suitability, pros and cons, processes, compliances etc.
  • Part II: To Acquire knowledge of legal and procedural aspects of various types of listings, eligibility criteria, documentation, compliances etc.

Study Tips for Corporate Funding & Listings in Stock Exchanges:

Corporate Funding & Listings in Stock Exchanges has most of the topics that had already been covered in the paper called as Capital Markets and Securities Laws under the Executive Programme. Almost all the topics of part I are similar to that under the executive programme. Some of the Do’s and Don’ts in relation to preparing for this paper have been discussed hereunder: Do’s:

  • Do prepare summary notes for each and every chapter
  • Do ensure written practise
  • Do aim for conceptual clarity
  • Do refer the ICSI study material
  • Do cover the latest amendments up to 6 months preceding the date of exam.


  • Don’t quote the section numbers or regulation numbers unless 100 you are per cent confident about it
  • Don’t depend on your private tutor or any other faculty completely while preparing for this paper. Their notes shall only be a supplement to the ICSI module.
  • Don’t resort to selective study.
  • Don’t forget to go through the ICSI question papers, practise manuals and other publications relating to this paper.

Preparing Summary Notes:

A paper like this requires conceptual clarity along with learning skills from the students. Therefore it is advisable that you prepare your summary notes for each and every chapter that way the written practise would also be done away with. There are various topics under various chapters, under which numerous sub points have been covered, it is impossible for everyone to understand and retain all of them and then replicate the same on the answer script. Out of those numerous sub points it is always advisable to short list around 7-8 points accordingly so that you are able to understand and replicate the same in your examination. This will bring out the efficiency from within you. Remember that you have to attempt 100 marks in a span of three hours and therefore the relevance of these summary notes will be very high from your examination perspective.

How to study for Corporate Funding:

  • The most important topic under Part I is the SEBI (ICDR) Regulations 2018 covered under the very first chapter itself. This chapter shall be completed at the very first and proper notes shall also be made ready.
  • Lesson 4 – Lesson 10 deal with various SEBI Regulations regarding Global Depository Receipts, Sweat Equity Shares, Alternate Investment Funds, Venture Capital Funds etc. These topics were covered under the executive programme too and therefore they can be easily managed considering the fact that the base had already been developed in the executive programme. Most of the topics under these lessons are just a repetition of the topics covered earlier.
  • Certain additions have also been made in lesson 2 and lesson 3 when compared to their coverage under the Executive Programme and however they should be completed after all the remaining topics of Part I along with Part II have been completed.

How to study for Listings in Stock Exchanges:

Part II of the paper deals with completely procedural aspect of the securities market. There are very few topics that demand conceptual understanding here and therefore while preparing notes for the lessons under this Part make sure they are informative and precise and suit your studying pattern.  Do not try to learn each and every sub points as already discussed earlier but resort to smart study and refer your summary notes prepared. Learn only that much which you will be able to retain and replicate in your answer script. There are only four chapters under this part and the weightage is 40 marks. It is very much possible to score great marks from this section of the syllabus. Prepare lesson 13 and 15 at the beginning and then go for lesson 16 and touch lesson 14 at the end.

How many hours a day you must study:

Nobody can predict the exact number of hours one must study per day in order to excel at any examination. No. of hours of study per day is actually a relative concept that depends from person to person with their areas of strength and weaknesses playing an important part. Importance shall also be given to quality over quantity. However where one is unsure and confused about their strategy, one may refer the following strategy and improvise it as per their convenience:

  • Study the subject at least three days a week investing at least two and a half hours a day.
  • Keep one day for revising and learning the topics covered in the aforesaid three days

Therefore, four days a week would surely be enough to prepare this subject

Key points of this article:

  • Cover each and every topic.
  • For the topics that are really long, remember to summarize them ensuring the theme of the topic is covered.
  • Continuous and cumulative revision is very important for this paper.
  • Always resort to written practice.
  • Surely solve the past exam papers and various self-test questions present at the end of each chapter.
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