Monday, January 10, 2022

General Information for SEBI Recruitment


Note: (1) In case the face in the photograph or signature or left thumb impression or the handwriting declaration is unclear / smudged the candidate’s application may be rejected. 

(2) After uploading the Photograph / signature / left thumb impression / handwriting declaration in the online application form candidates should check that the images are clear and have been uploaded correctly. In case the photograph or signature or left thumb impression or the handwriting declaration is not prominently visible, the candidate may edit his/ her application and re-upload his her photograph or signature, prior to submitting the form. 

(3) After registering online candidates are advised to take a printout of their system generated online application forms. 

D. DOWNLOAD OF CALL LETTERS Candidates will have to visit the website for downloading call letters for online examination. Intimation for downloading call letter will also be sent through email/SMS. Once the candidate clicks the relevant link, he/she can access the window for call letter download. The candidate is required to use 

(i) Registration Number/Roll Number, 

(ii) Password/Date of Birth for downloading the call letter. Candidate needs to affix recent  recognizable photograph on the call letter which should be the same as provided during registration and appear at the examination centre with (i) Call Letter (ii) Photo Identity Proof as stipulated in this advertisement and also specified in the call letter and 

(iii) Photocopy of the same Photo Identity Proof as brought in original. 


Note: 1. The examination will be conducted online in venues given in the respective call letters. The addresses of the venue will be advised in the call letter. Candidates are required to indicate the preferred test centre in the application form. SEBI however, reserves the right to cancel any of the Examination Centres and/ or add some other Centres, depending upon the response, administrative feasibility, etc. 

2. As far as possible candidates will be allotted to a centre of his/her choice. However, SEBI, reserves the right to allot the candidate to any centre (either within the state or outside the state) other than the one he/she has opted for. 

3. No request for change of centre/venue/date/ session for Examination shall be entertained. 

4. Choice of centre once exercised by the candidate will be final. If sufficient number of candidates do not opt for a particular centre for "Online" examination, SEBI reserves the right to allot any other adjacent centre to those candidates OR if the number of candidates is more than the capacity available for online exam for a centre, SEBI reserves the right to allot any other centre (either within the state or outside the state) to the candidate. 

5. Candidate will appear for the examination at an Examination Centre at his/her own risk and expenses and SEBI will not be responsible for any injury or losses etc., of any nature. 

F. IDENTITY VERIFICATION In the examination hall as well as at the time of interview, the call letter along with original and a photocopy of the candidate’s currently valid photo identity (bearing exactly the same name as it appears on the call letter) such as PAN Card/ Passport/ Driving License/ Voter’s Card with photograph/ Bank Passbook with photograph/ Photo identity proof issued by a Gazetted Officer on official letterhead along with photograph/ Photo identity proof issued by a People’s Representative on official letterhead along with photograph/ valid recent Identity Card issued by a recognized College/ University/ Aadhaar card with a photograph/ E-Aadhaar card with a photograph/ Employee ID in original/ Bar Council Identity Card with photograph should be submitted to the invigilator for verification. 

The candidate’s identity will be verified with respect to his/her details on the call letter, in the Attendance List and requisite documents submitted. If identity of the candidate is in doubt the candidate may not be allowed to appear for the Examination. Ration Card is not a valid ID proof. Note: Candidates have to produce in original the photo identity proof and submit photocopy of the photo identity proof along with Examination Call Letter as well as the Interview Call Letter while attending the examination/ interview respectively, without which they will not be allowed to take up the examination/ interview. Candidates must note that the name as appearing on the call letter (provided during the process of registration) should exactly match the name as appearing on the photo identity proof. Female candidates who have changed first/last/middle name post marriage must take special note of this. If there is any mismatch between the name indicated in the Call Letter and Photo Identity Proof, the candidate will not be allowed to appear for the examination. In case of candidates who have changed their name, will be allowed only if they produce original Gazette notification / their original marriage certificate / affidavit in original. Photo ID should be valid as on the day of the examination. Candidates reporting late i.e., after the reporting time specified on the call letter for examination will not be permitted to take the examination. 

The reporting time mentioned on the call letter will be prior to the start time of the test. Candidates may be required to be present at the venue for about 4-5 hours prior to the start of the examination for completion of various formalities such as verification and collection of various requisite documents, logging in, giving of instructions, etc.

 BIOMETRIC DATA – Capturing and Verification It has been decided to capture the biometric data (thumb impression) and the photograph of the candidates on the day of the Online Examination (Phase II) for the candidates who appear for the examination. The biometric data and photograph will be verified subsequently. Decision of the Biometric data verification authority with regard to its status (matched or mismatched) shall be final and binding upon the candidates. Candidates are requested to take care of the following points in order to ensure a smooth process 

 If fingers are coated (stamped ink/ mehndi/ coloured, etc.), ensure to thoroughly wash them so that coating is completely removed before the exam / interview / joining day. 

 If fingers are dirty or dusty, ensure to wash them and dry them before the finger print (biometric) is captured. 

 Ensure fingers of both hands are dry. If fingers are moist, wipe each finger to dry them. 

 If the primary finger (thumb) to be captured is injured/damaged, immediately notify the concerned authority in the test centre. 

G. ACTION AGAINST CANDIDATES FOUND GUILTY OF MISCONDUCT. Candidates are advised in their own interest that they should not furnish any particulars that are false, tampered with or fabricated and should not suppress any material information while submitting online application. At the time of examination, interview or in a subsequent selection procedure, if a candidate is (or has been) found guilty of 

i. Using unfair means or 

ii. Impersonating or procuring impersonation by any person or 

iii. Misbehaving in the examination/interview hall or disclosing , publishing , reproducing, transmitting, storing or facilitating transmission and storage of contents of the test(s) or any information therein in whole or part thereof in any form or by any means, verbal or written, electronically or mechanically for any purpose or 

iv. Resorting to any irregular or improper means in connection with his/her candidature or

 v. Obtaining support for his/her candidature by any unfair means or 

vi. The use of any mobile phone (even in switched off mode), pager or any electronic equipment or programmable device or storage media like pen drive, smart watches etc. or camera or blue tooth devices or any other equipment or related accessories either in working or switched off mode capable of being used as a communication device during the examination is strictly prohibited. Such a candidate may in addition to rendering himself/herself liable to criminal prosecution, be liable:

 a. To be disqualified from the examination for which he/she is a candidate. 

b. To be debarred, either permanently or for a specified period, from any examination conducted by SEBI. c. For termination of service, if he/she has already joined SEBI. 

H. GENERAL INFORMATION: The possibility for occurrences of some problem in administration of the examination cannot be ruled out completely which may impact test delivery and/or result from being generated. In that event, every effort will be made to rectify the problem, which may include shifting the candidates to the other centers or to conduct of another examination if considered necessary. Decision of the SEBI in this regard shall be final. Candidates not willing to accept such change shall loose his/her candidature for this exam. 

If the examination is held in more than one session, the scores across various sessions will be equated to adjust for slight differences in difficulty level of different test batteries used across sessions. More than one session are required if the nodes capacity is less or some technical disruption takes place at any centre or for any candidate. SEBI would be analyzing the responses (answers) of individual candidates with those of other candidates to detect patterns of similarity of right and wrong answers. If from the analytical procedure adopted by SEBI in this regard, it is inferred/ concluded that the responses have been shared and scores obtained are not genuine/ valid, SEBI reserves the right to cancel the candidature of the concerned candidates and the result of such candidates (disqualified) will be withheld. 

 Instances for providing incorrect information and/or process violation by a candidate detected at any stage of the selection process will lead to disqualification of the candidate from the selection process and he/she may not be allowed to appear in any SEBI recruitment process in the future. If such instances go undetected during the current selection process but are detected subsequently, such disqualification will take place with retrospective effect. Not more than one application should be submitted by any candidate. In case of multiple applications, only the latest valid (completed) application will be retained and the application fee/ intimation charges paid for the other multiple registration(s) will stand forfeited. 

Notes:  After completing the procedure of applying on-line including payment of fees, the candidate should take a printout of the system generated on-line application form, ensure that the particulars filled in are accurate and retain it along with Registration Number and Password for future reference. They should not send this printout to the SEBI. If the online transaction has been successfully completed a Registration Number and Password will be generated. Candidates should note their Registration Number and Password for future reference. 

 Please note that all the particulars mentioned in the online application including Name of the Candidate, Category, Date of Birth, Address, Mobile Number, Email ID, Centre of Examination, etc., will be considered as final and no change/modifications will be allowed after submission of the online application form. Candidates are hence requested to fill in the online application form with the utmost care as no correspondence regarding change of details will be entertained. The SEBI will not be responsible for any consequences arising out of furnishing of incorrect and incomplete details in the application or omission to provide the required details in the application form. 

 An email/ SMS intimation with the Registration Number and Password generated on successful registration of the application will be sent to the candidate’s email ID/ Mobile Number specified in the online application form as a system generated acknowledgement. If candidates do not receive the email and SMS intimations at the email ID/ Mobile number specified by them, they may consider that their online application has not been successfully registered. 

 An online application which is incomplete in any respect such as without photograph and signature uploaded in the online application form/ unsuccessful fee payment will not be considered as valid. 

 Candidates are advised in their own interest to apply on-line much before the closing date and not to wait till the last date for depositing the fee to avoid the possibility of disconnection/ inability/ failure to log on to the website on account of heavy load on internet/website jam. 

 SEBI does not assume any responsibility for the candidates not being able to submit their applications within the last date on account of the aforesaid reasons or for any other reason beyond the control of the SEBI. 

 Please note that the above procedure is the only valid procedure for applying. No other mode of application or incomplete steps would be accepted and such applications would be rejected. 

 Any information submitted by an applicant in his/ her application shall be binding on the candidate personally and he/she shall be liable for prosecution/ civil consequences in case the information/details furnished by him/ her are found to be false at a later stage. Helpline: In case of any problem experienced in filling up the form, payment of fees/intimation charges, queries may be made at Do not forget to mention 'SEBI - Officer Grade A 2020' in the subject of the email.

Annexure 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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