SECURITIES AND EXCHANGE BOARD OF INDIA RECRUITMENT OF OFFICER GRADE A EXAM (SEBI ASSISTANT MANAGER) Syllabus 

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SEBI Assistant Manager Officer Grade A Mode of selection shall be a three stage process i.e.

Phase I (on-line screening examination for 200 marks),

Phase II (An  on-line  examination consisting of  two  papers  of 100  marks  each for total 200 marks)

Phase III (Interview)

Phase I On-Line Examination For General Stream, Legal Stream, Information Technology Stream, Engineering Stream, Research Stream and Official Language Stream comprises following sections: An online screening examination consisting of two papers (Multiple Choice questions of 100 marks each). The exam will consist of: 

Paper 1: 

i) General Awareness (including some questions related to Financial Sector of easy to moderate difficulty level)
ii) English Language
iii) Quantitative Aptitude
iv) Test of Reasoning 

Paper 2 : 

General Stream: Multiple choice questions on subjects Commerce, Accountancy, Management, Finance, Costing, Companies Act and Economics

Legal, Information Technology, Official Language stream: Multiple choice questions on specialized subject related to stream.

Research Stream:-Multiple choice questions on subjects Economics, Econometrics, Statistics, Finance and Commerce.

Phase II On-Line Examination

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

A. Commerce & Accountancy 

a) Accounting as a financial information system;

b) Accounting Standards with specific reference to Accounting for Depreciation, Inventories, Revenue Recognition, Fixed Assets, Foreign Exchange Transactions, Investments.

c) Cash Flow Statement, Fund flow statement, Financial statement analysis; Ratio analysis;

d) Accounting for Share Capital Transactions including Bonus Shares, Right Shares.

e) Employees Stock Option and Buy-Back of Securities.

f) Preparation and Presentation of Company Final Accounts. 

B. Management 

a) Management: its nature and scope; The Management Processes; Planning, Organization, Staffing, Directing and Controlling;

b) The Role of a Manager in an Organization. Leadership: The Tasks of a Leader;

c) Leadership Styles; Leadership Theories; A successful Leader versus an effective Leader.

d) Human Resource Development: Concept of HRD; Goals of HRD;

e)Motivation, Morale and Incentives: Theories of Motivation; How Managers Motivate; Concept of Morale; Factors determining morale; Role of Incentives in Building up Morale.

f) 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

a) Role and Functions of Regulatory bodies in Financial Sector.

2) Financial Markets

a) Primary and Secondary Markets (Forex, Money, Bond, Equity, etc.), functions, instruments, recent developments.

3) General Topics

a) Basics of Derivatives: Forward, Futures and Swap

b) Recent Developments in the Financial Sector

c) Financial Inclusion- use of technology

d) Alternate source of finance, private and social cost-benefit, Public-Private Partnership

e) Direct and Indirect taxes; Non-tax sources of Revenue, GST, Finance Commission, Fiscal Policy, Fiscal Responsibility and Budget Management Act (FRBM),

f) 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:-

a)Introduction to Lean System

b) Just-in-Time (JIT)

c) Kaizen Costing

d) 5 Ss

e) Total Productive Maintenance (TPM)

f) Cellular Manufacturing/ One-Piece Flow Production Systems

g) Six Sigma (SS) h) 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 

a) 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

b) Balance of Payments, Foreign Exchange Markets, Inflation, Monetary and Fiscal Policy, Non-banking Financial Institutions

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Quantitative Aptitude
Questions are asked mainly from the following topics/subtopics    

Test of Reasoning/Mental Ability/Aptitude
Questions are asked mainly from the following topics/subtopics

English
Questions are asked mainly from the following topics/subtopics

General Awareness  

 PHASE - II Detailed Syllabus 

https://www.sebi.gov.in/sebiweb/other/careerdetail.jsp?careerId=199

Paper-I English Writing Skills
The paper on English shall be framed in a manner to assess the writing skills including expression and understanding of the topic.   

Paper II

Specialized Subject (Legal / Information Technology / Engineering Streams): 

Legal Stream: (Phase 1) Syllabus 

1. Constitution of India : Weightage - (10%)
2. Law of Contracts – Indian Contracts Act, 1872, Specific Relief Act, 1963 : Weightage - (10%)
3. Criminal Law – Indian Penal Code, 1860 along with the Code of Criminal Procedure, 1973 : Weightage Combine for Topic 3,4 & 5 - (15%)
4. Law of Evidence – Indian Evidence Act, 1872. : Weightage Combine for Topic 3,4 & 5 - (15%)
5. Code of Civil Procedure, 1908 – Part I, Part II. : Weightage Combine for Topic 3,4 & 5 - (15%)
6. Administrative Law and Principles of Natural Justice : Weightage - (10%)
7. Jurisprudence and Interpretation of Statutes : Weightage for Topic 7 & 8 - (10%)
8. Important Latin terms and maxims : Weightage for Topic 7 & 8 - (10%)
9. Law of Torts and Consumer Protection Act, 2019 : Weightage - (5%)
10. Arbitration and Conciliation Act, 1996 – Part I : Weightage - (5%)
11. Transfer of Property Act, 1882 – Chapter III, Chapter IV, Chapter V. : Weightage - (5%)

12. Companies Act, 2013 – Chapter I, Chapter II, Chapter III, Chapter IV, Chapter V, Chapter VII, Chapter VIII, Chapter IX, Chapter X, Chapter XI, Chapter XII, Chapter XIII, Chapter XV, Chapter XVI.  : Weightage - (15%)
13. Securities Laws – SEBI Act, 1992, SC(R) Act, 1956, Depositories Act, 1996 : Weightage - (15%) 

Legal Stream: (Phase 2) Syllabus 

1. Constitution of India – Preamble, Part I, Part III, Part IV, Part IVA, Part V, Part VI, Part VIII, Part IXA, Part IXB, Part XI, Part XII, Part XIII, Part XIV,

Part XIVA, Part XX. : Weightage-10%

2. Law of Contracts – Indian Contract Act, 1872 (Chapters VIII to X), Indian Partnership Act, 1932, Specific Relief Act, 1963

: Weightage-10%

3. Criminal Law – Indian Penal Code, 1860 (Chapters I, II, III, IV, V, VA, VI, IX, XVII, XXI, XXII, XXIII); Code of Criminal Procedure, 1973.

: Weightage Combine for Topic 3,4 & 5 : Weightage-10%

4. Law of Evidence – Indian Evidence Act, 1872. Weightage Combine for Topic 3,4 & 5 : Weightage-10%

5. Code of Civil Procedure, 1908 – Part I, Part II, Part III, Part IV, Part V, Part VII, Schedule I. : Weightage Combine for Topic 3,4 & 5 : Weightage-10%

6. Administrative Law and Principles of Natural Justice : Weightage Combine for Topic 6, 7 & 8-10%

7. Jurisprudence and Interpretation of Statutes : Weightage Combine for Topic 6, 7 & 8-10%

8. Important Latin terms and maxims : Weightage Combine for Topic 6, 7 & 8-10%

9. Law of Torts and Consumer Protection Act, 2019 : Weightage Combine for Topic 9, 10 & 11: 15%

10. Arbitration and Conciliation Act, 1996 – Part I, Part III, Part IV. : Weightage Combine for Topic 9, 10 & 11: 15%

11. Transfer of Property Act, 1882 – Chapter III, Chapter IV, Chapter V. : Weightage Combine for Topic 9, 10 & 11: 15%

11. Law of Trusts – Parties to a Trust Deed and Duties of Trustees. : Weightage Combine for Topic 9, 10 & 11: 15%

12. Corporate Law – Companies Act, 2013 (Chapter I, Chapter II, Chapter III, Chapter IV, Chapter V, Chapter VII, Chapter VIII, Chapter IX, Chapter X,

Chapter XI, Chapter XII, Chapter XIII, Chapter XV, Chapter XVI, Chapter XXVII, Chapter XXVIII, Chapter XXIX);

Limited Liability Partnership Act, 2008; Insolvency and Bankruptcy Code, 2016 (Part I, Part II) : Weightage-20%

13. Taxation – General principles, Capital Gains Tax, Securities Transaction Tax : Weightage-5%

14. Securities Laws – SEBI Act, 1992, SC(R) Act, 1956, Depositories Act, 1996 : Weightage- 20%

Information Technology Stream: 

Syllabus for Paper 2 of Phase I in Information Technology Stream

1. Database Concepts : ER‐model. Relational model: relational algebra, tuple calculus, Integrity constraints, normal forms. File organization, indexing (e.g., B and B+ trees), Transactions and concurrency control. : Weightage- 10%

2. SQL Queries: Select, view, truncate, delete, update, alter, Inner join, different types of outer joins,, use of aggregate functions, Union, intersection, except, in and exist clauses, nested queries : Weightage- 10%

3. Programming Concepts (Java /C C++ ) : Program control (iteration, recursion, Functions), Scope of variables, Binding of variables & functions,

Parameter passing, Functional and Logic Programming, OOPS Concepts, Inheritance, Class and object, Constructors, Functions, Exception Handling Weightage- 30%

4. Data Analytics Languages: (Python / R) Regex, Slicing, Data reshaping, Dataframes, Dictionaries and Sets, File Management, Classes and Functions, Data Mining, Lists, Importing and exporting data, charts and graphs : Weightage- 10%

5. Algorithms for problem solving : Tree and graph traversals, Connected components, Spanning trees, Shortest paths; hashing, Sorting, Searching; Design techniques (Greedy, Dynamic Programming, Divide-and-conquer) : Weightage- 10%

6. Networking Concepts: ISO/OSI stack, LAN Technologies (Ethernet, Token ring), TCP/UDP, IP, Basic concepts of switches, gateways, and routers, Application layer protocols (DNS, SMTP, POP, FTP, HTTP), Firewalls : Weightage- 10%

7. Information & Cyber Security Concepts Cyber Attacks, Software Development Security, Network security, Authentication, CIA - Confidentiality, Integrity and Availability, Network Audit, Systems Audit : Weightage- 10%

8. Data warehousing : Data Extraction, Data Cleaning, Data Transformation, Data Loading, Metadata, Data Cube, Data Mart, Data Models,: Weightage- 5%

9. Shell Programming : Shell Scripting Basics, Shell Variables, Shell Script Arguments, If Statement, Loop, Return, Basic UNIX commands : Weightage- 5% 

The syllabus for Paper 2 of Phase II examination for Information Technology Stream is provided below:- 

1 Algorithms: Sorting, Searching, Greedy Algorithms, Dynamic Programming, Backtracking, Divide and Conquer, Pattern Searching - C++/JAVA/Python : Weightage- 40%

2 Data Structure: Array, Linked List, Stack, Queue, Binary Tree, Indexing, Binary Search Tree, Heap, Hashing, Matrix- C++/JAVA/Python : Weightage- 40%

3 String Manipulation : Length, Substring, Regex, Search C++/JAVA/Python : Weightage- 20%

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