Dhaka Stock Exchange Ltd.
Dhaka Stock Exchange Ltd.
Dhaka Stock Exchange Ltd.
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<strong>Dhaka</strong> <strong>Stock</strong> <strong>Exchange</strong> <strong>Ltd</strong>.<br />
Foundation Course on Securities Market Operation<br />
1 st Batch (DSE-DTA-2011-01-01)<br />
Organized by DSE Training Academy<br />
Tentative Schedule<br />
No.of<br />
Session<br />
01<br />
Date & Time Topics Expected Resource<br />
4:00 PM – 5:00PM<br />
5:00 PM – 7:30 PM<br />
Inaugural Session<br />
Basic orientation of Capital Market;<br />
1.Regulatory framework<br />
2.Introduction to products<br />
available in Capital Market<br />
Honorable Member<br />
from SEC<br />
02 5:00 PM – 7:30 PM<br />
Basic orientation of Capital Market; Introduction to<br />
products available in Capital Market<br />
Honorable Member<br />
from SEC<br />
03 5:00 PM – 7:30 PM<br />
04 5:00 PM – 7:30 PM<br />
05<br />
5:00 PM – 7:30 PM<br />
Basic orientation of Capital Market; Introduction to<br />
products available in Capital Market<br />
Basic orientation of Capital Market; Introduction to<br />
products available in Capital Market<br />
Introduction to DSE, Role & Functions of <strong>Stock</strong><br />
<strong>Exchange</strong>.<br />
06 5:00 PM – 7:30 PM Introduction to CDBL & Role & Functions of<br />
CDBL.<br />
07 5:00 PM – 7:30 PM Basic Orientation on Commodity Market<br />
Honorable Member<br />
from SEC<br />
Honorable Member<br />
from SEC<br />
Mr. Syed Al Amin<br />
Rahman<br />
DGM & In-Charge,<br />
DTA, DSE<br />
Mr. Shuvra Kanti<br />
Choudhury<br />
CFO,CDBL<br />
Mr. Wali-ul-Maroof<br />
Matin<br />
Managing Director of<br />
Alliance Capital Asset<br />
Management Limited<br />
(ACAML)<br />
08<br />
5:00 PM – 7:30 PM 1. Securities and <strong>Exchange</strong> Commission Act, 1993<br />
2. Securities and <strong>Exchange</strong> Ordinance, 1969<br />
To be nominated<br />
09<br />
5:00 PM – 7:30 PM<br />
Conditions imposed on Issuers and Directions<br />
given to Market Intermediaries by SEC<br />
To be nominated
10 5:00 PM – 7:30 PM<br />
11<br />
5:00 PM – 7:30 PM<br />
12 5:00 PM – 7:30 PM<br />
13 5:00 PM – 7:30 PM<br />
14 5:00 PM – 7:30 PM<br />
15 5:00 PM – 7:30 PM<br />
16<br />
5:00 PM – 7:30 PM<br />
17 5:00 PM – 7:30 PM<br />
18 5:00 PM – 7:30 PM<br />
19 5:00 PM – 7:30 PM<br />
1. Securities and <strong>Exchange</strong> Commission (public<br />
Issue) Rules, 2006<br />
2. Securities and <strong>Exchange</strong> Commission (Right<br />
Issue) Rules, 2006<br />
3. Securities and <strong>Exchange</strong> Commission (Capital<br />
Issue) Rules, 2001<br />
4. SEC Asset Backed Securities Rules -2004<br />
1. Listing Regulations-1996<br />
2.Direct Listing Regulations, 2006<br />
1. Securities and <strong>Exchange</strong> Rules, 1987<br />
2.Guidelines on Corporate Governance,<br />
2006<br />
1. Credit Rating Company Rules-1996<br />
2.Over the Counter Rules-2001<br />
1. Investors Protection Fund Regulations,<br />
1999<br />
2. Members’ Margin Regulations, 2000<br />
3. Short Sale Regulations, 2005<br />
1. Margin Rules-1999<br />
2. SEC Market Makers Rules, 2000<br />
3. Prohibitions of Insider Trading Rules, 1995<br />
1. Automated Trading System-1999 and Clearing<br />
and settlement Regulations of <strong>Stock</strong> <strong>Exchange</strong>-<br />
1998<br />
1. SEC <strong>Stock</strong> dealers, <strong>Stock</strong> Brokers & Authorized<br />
Representative Rules 2000<br />
2. Securities and <strong>Exchange</strong> Commission (Merchant<br />
Bankers and Portfolio Managers) Rules-2000<br />
3. Merger and Acquisition Rule, 2002<br />
1. Securities and <strong>Exchange</strong> Commission<br />
(Mutual Fund) Rules, 2001<br />
2.Securities and <strong>Exchange</strong> Commission<br />
(Custodial Services) Rules, 2003<br />
1. Depository Act, 1999<br />
2. Depository Regulation, 2000<br />
3. Depository Users Regulation, 2003<br />
Mr. ATM<br />
Tariquzzaman<br />
Executive Director<br />
SEC<br />
Mr. Nizam Uddin<br />
Ahmed<br />
AGM,<br />
Listing Affairs, DSE<br />
Mr. M. Hasan<br />
Mahmud<br />
Executive Director<br />
SEC<br />
Mr.Ripon Kumar<br />
Debenath<br />
Director, SEC<br />
Resource from DSE<br />
Mr. Mohammad<br />
Rezaul Karim<br />
Director, SEC<br />
Resource from DSE<br />
Mr. Mahbuber<br />
Rahman Chowdhury<br />
Director ,SEC<br />
Mr. Anowarul Islam<br />
Executive Director<br />
SEC<br />
To be nominated
20 5:00 PM – 7:30 PM<br />
Public Issue of Securities: IPO, Book Building &<br />
Direct Listing in light of Public Issue Rules.<br />
To be nominated<br />
21<br />
5:00 PM – 7:30 PM<br />
Public Issue of Securities: IPO, Book Building &<br />
Direct Listing in light of Public Issue Rules.<br />
To be nominated<br />
22 5:00 PM – 7:30 PM<br />
Public Issue of Securities: IPO, Book Building &<br />
Direct Listing in light of Public Issue Rules.<br />
To be nominated<br />
23<br />
5:00 PM – 7:30 PM Introduction to Clearing & Settlement system of<br />
DSE & compliance of related rules & regulations.<br />
Resource from DSE<br />
24 5:00 PM – 7:30 PM<br />
• Introduction to DSE Automated Trading<br />
System & Automated Trading Regulations.<br />
• Automated Clearing & Settlement System<br />
Mr. A.S.M.<br />
Khairuzzaman<br />
CTO, DSE<br />
25 5:00 PM – 7:30 PM Introduction to Application Software( TESA)<br />
26 5:00 PM – 7:30 PM<br />
Introduction to Basic Network (LAN, WAN) & its<br />
Application.<br />
Mr. Md. Ashraful<br />
Alam<br />
DGM- ICT Division,<br />
DSE<br />
Mr. Md. Tariqul Islam<br />
Manager, ICT Division,<br />
DSE<br />
27<br />
5:00 PM – 7:30 PM Compliance of Securities Related Rules &<br />
Regulations<br />
(Market Intermediaries)<br />
Mr. Md. Rezaul Karim<br />
Director<br />
SEC<br />
28<br />
5:00 PM – 7:30 PM<br />
Compliance of Securities Related Rules &<br />
Regulations (Issuer Company)<br />
29 5:00 PM – 7:30 PM Analysis of Financial Statement<br />
Mr. M. Hasan<br />
Mahmud<br />
Executive Director<br />
SEC<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU
30<br />
5:00 PM – 7:30 PM<br />
31 5:00 PM – 7:30 PM<br />
32<br />
Analysis of Financial Statement<br />
Analysis of Financial Statement<br />
5:00 PM – 7:30 PM Analysis of Financial Statement<br />
33 5:00 PM – 7:30 PM Analysis of Financial Statement<br />
34<br />
5:00 PM – 7:30 PM<br />
Analysis of Financial Statement<br />
35 5:00 PM – 7:30 PM Analysis of Financial Statement<br />
36<br />
37<br />
38<br />
5:00 PM – 7:30 PM<br />
5:00 PM – 7:30 PM<br />
5:00 PM – 7:30 PM<br />
Valuation Mechanism of products available in<br />
secondary market<br />
Valuation Mechanism of products available in<br />
secondary market<br />
Valuation Mechanism of products available in<br />
secondary market<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Dr. Swapan Kumar<br />
Bala, FCMA<br />
Professor<br />
Dept. of AIS, DU<br />
Mr. ATM<br />
Tariquzzaman<br />
Executive Director<br />
SEC<br />
Mr. ATM<br />
Tariquzzaman<br />
Executive Director<br />
SEC<br />
Mr. ATM<br />
Tariquzzaman<br />
Executive Director<br />
SEC<br />
39 5:00 PM – 7:30 PM<br />
Role & Functions of Merchant Bank & Investment<br />
Banker<br />
Resource from<br />
Merchant Banker
40<br />
5:00 PM – 7:30 PM<br />
Role & Functions of Merchant Bank & Investment<br />
Banker<br />
Resource from<br />
Merchant Banker<br />
41<br />
5:00 PM – 7:30 PM<br />
Mutual Fund-Investment Process in line to Asset<br />
Management Companies &<br />
relevant matters important<br />
Resource from AMCL<br />
42 5:00 PM – 7:30 PM<br />
43 5:00 PM – 7:30 PM<br />
44 5:00 PM – 7:30 PM<br />
a. Mutual Fund Sector Analysis<br />
b. International Context<br />
Macroeconomic Analysis & It’s application on<br />
Financial Market<br />
Impact of macroeconomic variable upon the <strong>Stock</strong><br />
Market in Bangladesh- Research Findings<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance,<br />
DU<br />
45 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
46 5:00 PM – 7:30 PM<br />
Portfolio Management<br />
Resource from DU<br />
47 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
48 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
49 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
50 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
51<br />
5:00 PM – 7:30 PM<br />
Portfolio Management<br />
Resource from DU
52 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
53 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
54 5:00 PM – 7:30 PM Portfolio Management Resource from DU<br />
55 5:00 PM – 7:30 PM Basic Orientation of Financial Derivatives.<br />
56 5:00 PM – 7:30 PM<br />
Basic Orientation of Financial Derivatives.<br />
57 5:00 PM – 7:30 PM Basic Orientation of Financial Derivatives.<br />
58<br />
5:00 PM – 7:30 PM<br />
Over view of income TAX and Changes in the<br />
Finance Act2011 relating to Income TAX<br />
59 5:00 PM – 7:30 PM VAT System in Bangladesh<br />
60 5:00 PM – 7:30 PM<br />
61 5:00 PM – 7:30 PM<br />
Deduction of TAX at source, Truncated VAT,<br />
procedure of Deduction , Deducting Authority,<br />
Payment, Appeal and Penal procedure<br />
Extent of Compliance of Corporate Governance in<br />
Capital Market<br />
Mr. Md. Mujibul<br />
Kabir<br />
Associate Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University<br />
Mr. Md. Mujibul<br />
Kabir<br />
Associate Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University<br />
Mr. Md. Mujibul<br />
Kabir<br />
Associate Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University<br />
Mr. Ranjan Kumar<br />
Bhowmik, FCMA<br />
Additional<br />
Commissioner of Taxes,<br />
NBR, GOB<br />
Mr. Md. Abdul Kafi<br />
Commissioner of<br />
Customs, Excise and<br />
VAT, <strong>Dhaka</strong><br />
south,Govt. of the<br />
people’s Republic of<br />
Bangladesh<br />
Mr. M. Fakhrul Alam<br />
Joint Commissioner<br />
Large Tax Payer<br />
Unit(VAT)<br />
NBR, GOB<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University
62<br />
5:00 PM – 7:30 PM<br />
Extent of Compliance of Corporate Governance in<br />
Capital Market<br />
Mr. Adeeb H. Khan<br />
Partner<br />
Rahman Rahman Huq<br />
Chartered Accountants<br />
63 5:00 PM – 7:30 PM<br />
64 5:00 PM – 7:30 PM<br />
65 5:00 PM – 7:30 PM<br />
66 5:00 PM – 7:30 PM<br />
67<br />
5:00 PM – 7:30 PM<br />
Extent of Compliance of Corporate Governance in<br />
Capital Market<br />
Introduction to Merger & Acquisition & Risk<br />
consideration<br />
Valuation & Structuring in line to Merger &<br />
Acquisition<br />
a. Financing the acquisition<br />
b. Financial acquisition : public to private<br />
c. Integrating the acquisition<br />
Role of Internal Audit & its contribution towards<br />
the Organization<br />
Audit Committee, its functions & Risk Based<br />
Internal Audit<br />
Internal Control & Verification<br />
68 5:00 PM – 7:30 PM Risk Management & Governance<br />
69<br />
5:00 PM – 7:30 PM Audit Report Writing & Management Audit<br />
Audit Planning, Controlling and Documentation<br />
70 5:00 PM – 7:30 PM Audit Evidence, Frauds and Errors<br />
Mr. Adeeb H. Khan<br />
Partner<br />
Rahman Rahman Huq<br />
Chartered Accountants<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University.<br />
Mr. Swapan Kumar<br />
Bala FCMA<br />
Professor<br />
Department of<br />
Accounting &<br />
Information Systems<br />
<strong>Dhaka</strong> University.<br />
Dr. Mahmood Osman<br />
Imam<br />
Professor<br />
Department of Finance<br />
<strong>Dhaka</strong> University.<br />
Mr. Snehasish Barua,<br />
FCA<br />
Partner<br />
Syful Shamsul Alam &<br />
Co<br />
Chartered Accountants<br />
Dr. Mahmuda Akter<br />
Professor<br />
Dept of Accounting<br />
University of <strong>Dhaka</strong>.<br />
Mr. Snehasish Barua,<br />
FCA<br />
Partner<br />
Syful Shamsul Alam & Co<br />
Chartered Accountants<br />
Mr. Muhammad<br />
Mehedi Hasan, ACA<br />
Partner<br />
Rahman Rahman Huq.
71 5:00 PM – 7:30 PM<br />
72 5:00 PM – 7:30 PM<br />
Compliance Requirement to Audit aspect in light of<br />
Capital Market<br />
Case Study on Internal audit<br />
Mr. Yawer Sayeed,<br />
MD, AIMS/<br />
Mr. Hasan Imam, CEO<br />
and MD, RACE<br />
Mr. Sabbir Ahmed,<br />
FCA<br />
Director<br />
Hoda Vasi Chowdhuri &<br />
Co<br />
Chartered Accountants<br />
73 5:00 PM – 7:30 PM Surveillance from the part of the Regulator SEC Official<br />
74 5:00 PM – 7:30 PM Surveillance from the part of the SRO DSE Official<br />
75 5:00 PM – 7:30 PM Surveillance from the part of the Member Company<br />
76 5:00 PM – 7:30 PM<br />
Compliance in Basic Office Management/<br />
Maintenance of Books, Documents, Records of<br />
Member Companies<br />
77 5:00 PM – 7:30 PM Investors’ Rights and Responsibilities<br />
Mr. Ahmad Rashid<br />
Director, DSE<br />
Mr. Md. Rezaul Karim<br />
Director, SEC<br />
Mr. Khondokar Asad<br />
Ullah<br />
DGM, MIC<br />
<strong>Dhaka</strong> <strong>Stock</strong> <strong>Exchange</strong><br />
<strong>Ltd</strong><br />
78 5:00 PM – 7:30 PM<br />
Basic Investment : Do’s & Don’ts<br />
Mr. Syed Al Amin<br />
Rahman<br />
DGM & In-Charge,<br />
DTA<br />
DSE
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