SEBI Officers Grade A 2020: Syllabus and Exam Pattern

Dear Readers, SEBI has recently released the 2020 recruitment notification for SEBI Officer Grade A officer (Assistant Manager). 

Exam Dates:

SEBI Grade A Phase I (Prelims) Exam Date	January 17, 2021
SEBI Grade A Phase II (Mains) Exam date	February 27, 2021

Exam Pattern:

Phase I On-Line Examination

Paper	Streams/Subjects	Maximum Marks	Duration	Cut off
Paper 1	All Streams: Multiple choice questions on the subjects viz. General Awareness (including some questions related to Financial Sector of easy to moderate difficulty level), English Language, Quantitative Aptitude, and Test of Reasoning.	100	60 minutes	30%
Paper 2	General Stream: Multiple choice questions on subjects Commerce, Accountancy, Management, Finance, Costing, Companies Act, and Economics.	100	40 minutes	40%
Aggregate Cut off				40%

Phase II On-Line Examination

Paper	Streams/Subjects	Maximum Marks	Duration	Cut off	Weightage
Paper 1	All Streams: English (Descriptive Test) to test the drafting skills	100	60 minutes	30%	33.33%
Paper 2	General Stream: Multiple choice questions on subjects Commerce, Accountancy, Management, Finance, Costing, Companies Act, and Economics.	100	40 minutes	40%	66.67%
Aggregate Cut off				40%

Note 1: A Post Graduate Diploma in any discipline will be accepted as an educational requirement for General stream.

Note 2: Candidates are permitted to apply for a maximum of 2 streams only for which he/she is eligible to apply, as per their educational qualifications. Separate on-line application for each stream will have to be submitted and requisite fees are to be paid for each application

Syllabus for Paper 1 of Phase I 

General Awareness	Reasoning	English	Quantitative Aptitude
Banking Reforms	Coding & Decoding	Reading Comprehensions	Data Interpretation
Regulatory Bodies in India- NABARD, SEBI etc.	Syllogism	Para Jumbles	Data Sufficiency
International Banking	Machine Input Output	Para Completion	Number Series
Important RBI Circulars	Puzzles	Vocabulary	Time and Work
Financial Terms	Seating Arrangements	Error Spotting	Time and Distance
Banking Terms	Direction Sense Test	Sentence Improvement	Simple and Compound Interest
Latest Acts related to Banking	Blood Relations	Cloze test	Ratio and Proportion
Priority Sector Lending	Problems based on Ages		Averages
NPA - latest news	Rankings		Mixture and Allegation
SARFAESI Act	Data Sufficiency		Pipes and Cisterns
RBI Monetary Policy	Statement and Conclusions		Problems based on trains
Capital & Money Market Instrument	Statement and Assumptions		Percentages
Commercial Banks, NBFCs, HFC - Latest news	Statement and Arguments		Partnership
Mergers and Acquisitions in Banking Companies			Clocks
Credit Rating and Agencies			Permutation and Combinations
Payment Options- NEFT, RTGS, Bharat Bill payment etc.			Probability
RBI’s circulars			Profit, Loss and Discount
			Elements of Algebra
			Quadratic Equations

Syllabus for Paper 2 of Phase I 

A. Commerce & Accountancy 

1. Accounting as a financial information system.
2. Accounting Standards with specific reference to Accounting for Depreciation, Inventories, Revenue Recognition, Fixed Assets, Foreign Exchange Transactions, Investments.
3. Cash Flow Statement, Fund flow statement, Financial statement analysis; Ratio analysis.
4. Accounting for Share Capital Transactions including Bonus Shares, Right Shares. 
5. Employees Stock Option and Buy-Back of Securities. 
6. Preparation and Presentation of Company Final Accounts.

B. Management 

1. Management: its nature and scope; The Management Processes; Planning, Organization, Staffing, Directing and Controlling. 
2. The Role of a Manager in an Organization. Leadership: The Tasks of a Leader.
3. Leadership Styles; Leadership Theories; A successful Leader versus an effective Leader. 
4. Human Resource Development: Concept of HRD; Goals of HRD.
5. Motivation, Morale and Incentives: Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale. 
6. Communication: Steps in the Communication Process; Communication Channels; Oral versus Written Communication; Verbal versus non-verbal Communication; upward, downward and lateral communication; Barriers to Communication, Role of Information Technology. 

C. Finance 

1. Financial System- Role and Functions of Regulatory bodies in the Financial Sector. 
2. Financial Markets- Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments. 
3. General Topics 

• Basics of Derivatives: Forward, Futures, and Swap 
• Recent Developments in the Financial Sector 
• Financial Inclusion- use of technology 
• Alternate source of finance, private and social cost-benefit, Public-Private Partnership 
• Direct and Indirect taxes; Non-tax sources of Revenue, GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act (FRBM), 
• Inflation: Definition, trends, estimates, consequences, and remedies (control): WPI, CPI - components, and trends.

D. Costing 

1. Overview of Cost and Management Accounting - Introduction to Cost and Management Accounting, Objectives, and Scope of Cost and Management Accounting. 
2. Methods of Costing - Single Output/ Unit Costing, Job Costing, Batch Costing, Contract Costing, Process/ Operation Costing, Costing of Service Sectors. 
3. Basics of Cost Control and Analysis - (i) Standard Costing, (ii) Marginal Costing, (iii) Budget and Budgetary Control. 
4. Lean System and Innovation:- 

• Introduction to Lean System 
• Just-in-Time (JIT)
• Kaizen Costing 
• 5 Ss 
• Total Productive Maintenance (TPM) 
• Cellular Manufacturing/ One-Piece Flow Production Systems 
• Six Sigma (SS) 
• Introduction to Process Innovation and Business Process Re-engineering (BPR)

E. Companies Act 

• The Companies Act, 2013 – Specific reference to Chapter III, Chapter IV, Chapter VIII, Chapter X, Chapter XI, Chapter XII, and Chapter XXVII.

F. Economics 

1. Demand and Supply, Market Structures, National Income: Concepts and Measurement, Classical & Keynesian Approach Determination of output and employment, Consumption Function, Investment Function, Multiplier and Accelerator, Demand and Supply for Money, IS-LM, Inflation and Phillips Curve, Business Cycles 
2. Balance of Payments, Foreign Exchange Markets, Inflation, Monetary and Fiscal Policy, Non-banking Financial Institutions.

Syllabus for Paper 1 of Phase II

• Precise Writing
• Essay Writing
• Letter Writing

Syllabus for Paper 2 of Phase II in General Stream (Common Syllabus for both phases)

A. Commerce & Accountancy 

• Accounting as a financial information system; 
• Accounting Standards with specific reference to Accounting for Depreciation, Inventories, Revenue Recognition, Fixed Assets, Foreign Exchange Transactions, Investments. 
• Cash Flow Statement, Fund flow statement, Financial statement analysis; Ratio analysis; 
• Accounting for Share Capital Transactions including Bonus Shares, Right Shares. 
• Employees Stock Option and Buy-Back of Securities. 
• Preparation and Presentation of Company Final Accounts.

B. Management 

1. Management: its nature and scope; The Management Processes; Planning, Organization, Staffing, Directing and Controlling; 
2. The Role of a Manager in an Organization. Leadership: The Tasks of a Leader; 
3. Leadership Styles; Leadership Theories; A successful Leader versus an effective Leader. 
4. Human Resource Development: Concept of HRD; Goals of HRD; 
5. Motivation, Morale and Incentives: Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale. 
6. Communication: Steps in the Communication Process; Communication Channels; Oral versus Written Communication; Verbal versus non-verbal Communication; upward, downward and lateral communication; Barriers to Communication, Role of Information Technology. 

C. Finance 

1. Financial System 
   • Role and Functions of Regulatory bodies in the Financial Sector. 
2. Financial Markets 
   • Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments. 
3. General Topics 
   1. Basics of Derivatives: Forward, Futures, and Swap 
   2. Recent Developments in the Financial Sector 
   3. Financial Inclusion- use of technology 
   4. Alternate source of finance, private and social cost-benefit, Public-Private Partnership 
   5. Direct and Indirect taxes; Non-tax sources of Revenue, GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act (FRBM), 
   6. Inflation: Definition, trends, estimates, consequences, and remedies (control): WPI, CPI - components, and trends.

D. Costing 

1. Overview of Cost and Management Accounting - Introduction to Cost and Management Accounting, Objectives, and Scope of Cost and Management Accounting. 
2. Methods of Costing - Single Output/ Unit Costing, Job Costing, Batch Costing, Contract Costing, Process/ Operation Costing, Costing of Service Sectors. 
3. Basics of Cost Control and Analysis - (i) Standard Costing, (ii) Marginal Costing, (iii) Budget and Budgetary Control. 
4. Lean System and Innovation:- 
   1. Introduction to Lean System 
   2. Just-in-Time (JIT) Page 20 of 26 
   3. Kaizen Costing 
   4. 5 Ss 
   5. Total Productive Maintenance (TPM) 
   6. Cellular Manufacturing/ One-Piece Flow Production Systems 
   7. Six Sigma (SS) 
   8. Introduction to Process Innovation and Business Process Re-engineering (BPR)

E. Companies Act 

• The Companies Act, 2013 – Specific reference to Chapter III, Chapter IV, Chapter VIII, Chapter X, Chapter XI, Chapter XII, and Chapter XXVII.

F. Economics 

1. Demand and Supply, Market Structures, National Income: Concepts and Measurement, Classical & Keynesian Approach Determination of output and employment, Consumption Function, Investment Function, Multiplier and Accelerator, Demand and Supply for Money, IS-LM, Inflation and Phillips Curve, Business Cycles 
2. Balance of Payments, Foreign Exchange Markets, Inflation, Monetary and Fiscal Policy, Non-banking Financial Institutions.

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