Key Responsibilities

A. Secretarial & Corporate Law Compliance

- Ensure compliance with the Companies Act, 2013, rules thereunder and applicable SEBI regulations.

- End-to-end handling of Board, Committee and Shareholders' meetings.

- Drafting notices, agendas, explanatory statements, resolutions and minutes.

- Maintenance of statutory registers and records.

- Timely filings with MCA of e-forms including AOC-4, MGT-7, MGT-14, PAS-3, SH-7, DIR-3 KYC, etc.

- Drafting and vetting of corporate documents, board notes, resolutions, agreements and policies.

- Liaison with ROC, stock exchanges, depositories, trustees, legal advisors and auditors.

- Compliances under SEBI PIT Regulations, as applicable

B. NBFC & RBI Compliance

- Ensure compliance with RBI Act, 1934, RBI Master Directions for NBFCs, circulars and notifications.

- Preparation and filing of RBI returns including:

Statutory Auditors Certificate, etc.

- Drafting, updating and monitoring implementation of NBFC policies, as applicable such as:

- Fair Practices Code

- KYC / AML & PMLA

- Coordination for RBI inspections, audits and compliance responses.

C. SEBI (LODR) - Debt Listed Compliance

- Ensure compliance with SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 as applicable to debt-listed entities.

- Handling stock exchange filings including:

(a) Outcome of Board meetings

(b) Financial results (quarterly / annual)

(c) Material events and disclosures under Regulation 51

(d) Monitoring timelines and disclosures related to:

(e) Interest payments

(f) Redemption / maturity of NCDs

(g) Defaults or delays (if any)

(h) Coordination with stock exchanges, debenture trustees and RTA for ongoing compliances.

D. NCD / Debt Securities Compliance

- End-to-end compliance relating to listed NCDs / privately placed debt including SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021

- Private placement compliances under Companies Act, 2013

Drafting and filing of:

- Placement Memorandum / Disclosure Documents

Term sheets and debenture trust deeds (in coordination with legal counsel)

- Post-issuance compliances:

- ISIN activation

- In-principle & final listing approvals

- Periodic reporting to debenture trustees

- Monitoring security creation, asset cover, escrow arrangements and related certifications.

E. Governance, Reporting & Compliance Management

- Maintenance of compliance calendar covering RBI, SEBI and Companies Act.

- Preparation of MIS and compliance reports for Board and senior management

- Tracking regulatory updates and advising management on impact and implementation.

- Supporting internal, statutory and secretarial audits.