1083 | Principles of Indian Financial Regulation

Course Information

  • 2021-22
  • 1083
  • 5-Year B.A., LL.B. (Hons.), LL.M.
  • III, IV, V
  • Nov 2021
  • Elective Course

This is a foundational course to understand the principles of Indian financial regulation. It will take a unique integrated approach to financial regulation – across sectors (banking, securities law, and insurance), and across functions (rulemaking, supervision, and enforcement). Through this course, students will understand of how core concepts in Indian financial regulation evolved and will develop an analytical framework to interpret and evaluate financial regulations.

The course will introduce students to the first principles of financial regulation. It will then provide an overview of the historical evolution of the each of the important financial regulators in India. With this background, the rest of the course will discuss (i) different techniques of regulation such as licensing, prudential, and disclosure-based regulation; (ii) various dispute resolution mechanisms and remedies including arbitration, regulatory proceedings, penalties, and disgorgement; and (iii) impact of technology on financial regulation.


Principles of Indian Financial Regulation
Pramod Rao

Visiting Faculty

S. Vivek

Visiting Faculty | Term II