About the role
Sending and implementing circulars of SEBI, Exchanges, Depositories
Account opening queries including of NRI and approving various processes of account opening
Handling compliance on Insider Trading Regulations (employee trading)
Review of various policies of the organization
PMS Compliances including half yearly and Disclosure documents
Making representation to Regulators.
Making submissions of various regulatory reportings to Regulators.
Handling Inspection/Internal Audits/System Audit/Cyber audit
Research regulations related compliance
Handling Sebi/Exchange investigations
Replying to Surveillance related mails from Regulators
Reply to Observation letters/show cause notices