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CAIIB Banking Regulations and Business Laws Syllabus 2026, Exam Pattern
CAIIB Banking Regulations and Business Laws Syllabus 2026, Exam Pattern, Exam Date 2026
Detail Information about CAIIB has published notification 2026 for the Notification of Banking Regulations and Business Laws vacancies. Those Candidates who are Interested to the following vacancy and completed all Eligibility Criteria can read the Notification & Apply Online. In this page we provide the Complete Syllabus of this Entrance Exam with Latest Update Exam Pattern and the Exam Date also.
CAIIB 2026 - Exam Overview
| Institution | Indian Institute of Banking & Finance (IIBF) |
| Exam Name | CAIIB Exam 2026 |
| Mode of Application | Online |
| CAIIB BRBL Exam Date 2026 | 14th June 2026 |
| Category | Syllabus and Exam Pattern |
| Exam Conducted | Twice in a year |
| Qualifying Marks | 50 out of 100 |
| Official website | http://www.iibf.org.in/ |
CAIIB Banking Regulations and Business Laws Syllabus 2026
Banking Regulations and Business Laws (Module Wise Subject)
Module A: Regulations & Compliance :
Legal Framework of Regulation of Banks : Business of Banking – Constitution of Banks – Reserve Bank of India Act, 1934 – Banking Regulation Act, 1949 – Reserve Bank as a Central Bank and Regulator of Non-Banking Financial Institutions/Banks – Government as a Regulator of Banks – Control over Co-operative Banks – Regulation by Other Authorities
Control over Organisation of Banks : Licensing of Banking Companies including RBI Licensing Policy for Universal Banks and Small Finance Banks/Branch Licensing – Paid-up Capital and Reserves – Shareholding in Banking Companies – Subsidiaries of Banking Companies – Board of Directors – Chairman of Banking Company – Appointment of Additional Directors – Restrictions on Employment – Controls over Management – Corporate Governance – Directors and Corporate Governance
Regulation of Banking Business : Power to Issue Directions – Acceptance of Deposits – Nomination – Loans and Advances – Regulation of Interest Rates – Regulation of Payment Systems – Internet Banking Guidelines – Regulation of Money Market Instruments – Banking Ombudsman – Regulation to Strengthen Financial Stability
Returns, Inspection, Winding Up, Mergers & Acquisitions : Annual Accounts and Balance Sheet – Audit and Auditors – Submission of Returns – Preservation of Records and Return of Paid Instruments – Special Audit – Inspection and Scrutiny – Board for Financial Supervision – Acquisition of Undertakings – Amalgamation of Banks – Winding up of Banks – Penalties for Offences
Non-Banking Financial Companies (NBFCs) : Regulators of NBFCs – Role of NBFC in promoting Inclusive Growth – Registration – Revised Scale Based Regulatory Structure – Nomenclature and Regulatory Norms – Capital Guidelines – Prudential Guidelines – Corporate Governance – Fair Practices Code for applicable NBFC – Bank Finance to NBFCs registered/not requiring registration with RBI – Co-Lending by banks and NBFCs to PSA.
Module B: Important Laws/Acts & Legal Aspects of Banking Operations- Part A :
The Prevention of Money Laundering Act, 2002 : Offence of Money Laundering – Punishment for Money Laundering – Obligations of Banking Companies, Financial Institutions and Intermediaries – Enhanced Due Diligence – Rules Framed – Records to be Maintained – Information Contained in the Records – Procedure for Maintaining Information – Procedure for Furnishing Information to the Director – Verification of Records of the Identity of Clients – Maintenance of Records of Identity of Clients – Some Cases pertaining to the Act
Negotiable Instruments Act, 1881 : Negotiable Instruments, Types and Characteristics – Drawer/Acceptor – Payment of Cheques – Protection to Bankers’ /Customers’ – Material Alteration – Where Alteration is not apparent – Protection to the Collecting Banker
Foreign Exchange Management Act, 1999 : Meaning of Certain Important Terms Used in FEMA – Regulation and Management of Foreign Exchange – Powers of RBI with Respect to Authorized Persons – Contravention, Penalties, Adjudication and Appeals – Directorate of Enforcement – Special Provisions relating to Assets held outside India
Payment & Settlement Systems Act, 2007 : Definitions – Designated Authority/Authorization – Regulation and Supervision by the RBI – Settlement and Netting – Power of RBI to make regulations
Law Relating to Securities and Modes of Charge – I : Mortgage – Document of Title to Immoveable Property – Meaning – Copy of Document of Title to Immoveable Property Where Acceptable
Law Relating to Securities and Modes of Charge – II : Appropriation – Assignment – Pledge – Hypothecation – Bankers lien – Set-off
Creation/Registration and Satisfaction of Charges : What is a Charge? – Procedure for Registration of Charge – Effect of Registration of Charges – Effect of Non-registration of Charges – Provisions of Companies Act 2013 Relating to Registration of Charges.
Module C: Important Laws/Acts & Legal Aspects of Banking Operations- Part B :
Reserve Bank – Integrated Ombudsman Scheme, 2021 : Coverage and Definitions – Ombudsman–Appointment/Location of Offices/Establishment of a Centralized Receipt and Processing Centre – Procedure for Redressal of Grievance – Procedure for Filing a Complaint / its Initial Scrutiny and Resolution – Passing of an Award and Right to Prefer to Appeal – Suspension of the Scheme
The Micro, Small and Medium Enterprises Development Act, 2006 : Coverage and Definitions – Summary of Regulation – National Board for Micro, Small and Medium Enterprises (NBMSME)/Advisory Committee – Memorandum of Micro, Small and Medium Enterprises – Delayed Payments to Micro and Small Enterprises – Micro and Small Enterprises Facilitation Council and Reference to the Council in case of Disputes – Disclosures and Penalty for Contravention of the Provisions of the Statute
Introduction to Securitisation and Reconstruction of Financial Assets and Enforcement of Security Interest Act, 2002 (SARFAESI Act, 2002) : Constitutional Validity of the Act – Definitions Under SARFAESI Act, 2002 – Preamble, Appellate Tribunal, Asset Reconstruction, Bank, Board, Borrower, Central Registry, Debt Recovery Tribunal, Default, Financial Assistance, Financial Asset, Financial Institution, Hypothecation, Non-performing Asset, Originator, Obligor, Property, Qualified Institutional Buyer, Scheme, Securitization, Security Agreement, Secured Asset, Secured Creditor, Secured Debt, Security Interest, Security Receipt, Sponsor
Regulation of Securitisation and Reconstruction of Financial Assets of Banks and Financial Institutions : Registration of Asset Reconstruction Company, Cancellation of Certificate of Registration, Acquisition of Rights of Interest in Financial Assets, Notices to Obligor and Discharge of Obligation of Such Obligor, Issue of Security Receipts and Raising of Funds by Securitization or Reconstruction Company, Exemption from Registration of Security Receipt, Measures of Assets Reconstruction, Other Functions of the Securitization Company or Reconstruction Company, Resolution of Dispute, Powers Available with RBI
Enforcement of Security Interest : Enforcement of Security Interest, Chief Metropolitan Magistrate or District Magistrate’s Assistance for Taking Possession of Secured Asset, Manner and Effect of Takeover of Management, No Compensation to Directors for Loss of Office, Application against Measures to Recover Secured Debt, Appeal to Appellate Authority, Right of the Borrower for Compensation and Costs
Central Registry : Central Registry, Central Registrar, Register of Securitization, Reconstruction and Security Interest Transactions, Filing of Transactions of Securitization, Reconstruction and Creation of Security Interest, Modification of Security Interest Registered, Satisfaction of Security Interest, Right to Inspect Particulars of Securitization, Reconstruction of Security Interest Transactions
Offences and Penalties : Penalties, Penalties for Non-compliance of Directions of Reserve Bank of India, Offences, Cognizance of Offences, Power of Adjudicating Authority to Impose Penalty/Appeals against Penalty and Adjudicating Appellate Authority
Miscellaneous Provisions : Non-Applicability of the Provisions of the SARFAESI Act in Certain Cases, Exemption of Certain Classes of Banks /Financial Institutions, Protection of Action Taken in Good Faith, Offences by Companies, Civil Court not to have Jurisdiction, Overriding Effect on Other Laws, Limitation, Power of the Central Government to Make Rules, Amendments to Certain Other Enactments
Registration of Security Interest by Secured Creditors and Other Creditors/ Rectification by Central Government in Some Cases : Registration by Secured Creditors and Other Creditors, Rectification by Central Government in Matters of Registration, Effect of the Registration of Transactions, Right of Enforcement of Securities and Priority Allowed to Secured Creditors
The Recovery of Debts and Bankruptcy Act, 1993 : Constitutional Validity of the Act, Extent, Commencement, Application and Definitions – Establishment of Tribunal and Appellate Tribunal – Jurisdiction, Powers & Authority of Tribunals – Procedure of Tribunals – Recovery of Debts Determined by Tribunal and Miscellaneous Provisions
Introduction to the Insolvency and Bankruptcy Code, 2016 : Definitions, Coverage, Pillars of IBC, 2016, The Insolvency Resolution Process for Companies and Limited Liability Entities, Corporate Insolvency Resolution Process (CIRP), Initiation of Corporate Insolvency Resolution Process by a Financial Creditor, Suspension of Initiation of CIRP, Persons not Entitled to Make Application, Time – Limit for completion of Insolvency Resolution Process and withdrawal of application admitted under the Code, Declaration of Moratorium and Public Announcement by the Adjudicating Authority, Appointment/Tenure of the Interim Resolution Professional, Committee of Creditors, Appointment of Resolution Professional, Liquidation, Order of Priority of Payment of Debts, Fast Track Insolvency Resolution Process, Voluntary Liquidation of Corporate Person
The Bankers’ Books Evidence Act, 1891 : Applicability and Definitions, Conditions in the Printout, Mode of Proof of Certain Entries in Bankers’ Books, Case in which Officer of Bank not Compellable to Produce Books, Inspection of Books by Order of Court or Judge, Costs of Application
The Legal Services Authorities Act, 1987: Lok Adalats : Organization of Lok Adalats, Jurisdiction of Lok Adalats, Cognizance of Cases by Lok Adalats, Disposal of Cases by Lok Adalats, Nature of Award of the Lok Adalats and Powers
The Consumer Protection Act, 2019 : Definitions, Unfair Contract and Unfair Trade Practice, Central, State and District Consumer Protection Councils, Central Consumer Protection Authority, District, State and National Consumer Disputes Redressal Commission, Ministry of Consumer Affairs, Food and Public Distribution (Department of Consumer Affairs) Notification dated 30th December, 2021, Finality of Orders and Limitation Period, Consumer Mediation Cell
The Law of Limitation : Definitions, Limitation and Its Computation, Computation of the Period of Limitation, Acts Giving Rise to Fresh Period of Limitation, Certain Important Provisions in Schedule to the Limitation Act
Tax Laws : Income Tax, Commodity Transaction Tax, Goods and Services Tax.
Module D: Commercial & Other Laws with Reference to Banking Operations :
Meaning and Essentials of a Contract : Meaning of Contract, Key Components to Form a Contract, Essentials of a Valid Contract, Contract Act and Banking
Contracts of Indemnity : Rights of Indemnity Holder, Implied Indemnity, Enforceability of Contract of Indemnity
Contracts of Guarantee : Parties to the Contract, Basic Principles of Contract, Consideration, The Liability of the Surety, Continuing Guarantee, Death of Surety, Variance in Terms, Discharge of Principal Debtor, Forbearance to Sue, Release of Co-surety, Surety’s Dues, Security, Misrepresentation, Implied Promise, Co-sureties, Revocation
Contract of Bailment : Meaning, Essential Features, Bailor’s Disclosure, Bailee’s Care of Goods, Mixing of Goods, Duties of Bailee, Bailee’s Lien
Contract of Pledge : Ingredients, Nature, Pledge by Way of Hypothecation, Pledge by Pledgee
Contract of Agency : Definition, Essential Characteristics, Rules, Types of Agents, Rights and Duties of the Agent and Principal
Meaning & Essentials of a Contract of Sale : Important Terms Defined, Features, Sale vs Agreement to Sell, Distinction
Conditions and Warranties : Meaning, Implied Conditions and Warranties
Unpaid Seller : Rights of an Unpaid Seller
Definition, Meaning and Nature of a Partnership : Meaning, Essential Characteristics, Types, Limited Liability Partnership (LLP)
Relations of Partners : General Duties, Duty to Indemnify, Rights and Duties by Contract, Conduct of Business, Mutual Rights and Liabilities, Property of the Firm, Profits, Rights and Duties
Relations of Partners to Third Parties : Partner as Agent, Implied Authority, Extension and Restriction of Authority, Partner’s Liability, Firm’s Liability, Firm’s Misapplication, Holding Out, Rights of Transferee
Minor Admitted to the Benefit of a Partnership : Legal Position, Retirement, Insolvency
Dissolution of a Firm : Causes, Modes, Liabilities
Effect of Non-Registration : Registration
Definition and Features of a Company : Features, Distinction from Partnership
Types of Companies : Mode of Incorporation, Liability, Public Interest, Holding and Subsidiary
Memorandum of Association and Articles of Association : Definitions, Effect, Distinction
Doctrines of Ultra Vires/Constructive Notice/Indoor Management : Definitions, Effects, Constructive Notice, Indoor Management
Membership of Company : Who is a Member, Modes of Becoming Member, Cessation, Register, Rights and Duties
Prospectus : Definition, Compliance, Mis-statements, Remedies
Directors : Minimum Number, Appointment, Retirement, Rights, Duties, Powers, Compensation
Limited Liability Partnership Act, 2008 : Definitions, Incorporation, Partners and Relations, Conversion
Transfer of Property Act, 1882 : Sale of Immovable Property, Mortgage, Leases, Actionable Claims
The Right to Information Act, 2005 : Applicability, Definitions
Right to Information & Obligations of Public Authorities : Obligations of Public Authorities, Procedure, Disposal of Request, Appeal, Penalties
Information Technology Act, 2000 : Definitions, Electronic Governance, Certifying Authorities, Digital Signature, Certificates, Penalties, Appeal, Investigation, Critical Information Infrastructure –Protected System, Application to Electronic Cheque and Truncated Cheque
Prevention of Corruption Act, 1988 : Definitions, Special Judges, Offences, Penalties, Fixing of Fines, Persons authorized to investigate, Powers to inspect ‘Bankers Books’, Appeal and Revision Investigation, Powers, Appeal
CAIIB Banking Regulations and Business Laws Exam Pattern 2026
Paper 4-Banking Regulations and Business Laws
Duration : 120 Minutes
| S.No | Subject | No.of Question | Marks |
| 1 | Banking Regulations and Business Laws | 100 | 100 |
| Total | 100 | 100 |
CAIIB Banking Regulations and Business Laws Exam Date 2026 : 14th June 2026
Starting Date of Application Form : 04th March 2026
Last Date of Application Form : 31st March 2026
Starting Date of Application Form : 04th March 2026
Last Date of Application Form : 31st March 2026
FAQs
Caiib Banking Regulations and Business Laws 2026 Exam Syllabus Frequently Asked Questions (FAQ's)
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