AIF Compliance Role - BFSI

- Ensuring compliance of the provisions of C.A.2013 and rules made there under, Secretarial Standards, SEBI (LODR), Insider Trading Regulations and other applicable laws.

- Monitoring the changes in relevant legislation and regulatory environment, for taking appropriate action. Thus, establishing a compliance-oriented culture within the organization by ensuring timely compliance reporting

- Handling various compliances related to SEBI Alternative Investment Fund Regulations. Vetting Agreements, term sheets related to proposed investments of Alternative Investment Fund business.

- Centralization of Policy management by formulating, updating & implementing various policies and procedures as required under C.A.2013 & other SEBI Regulations as may be applicable to Company and ensuring internal meetings are conducted in compliant and timely manner.

- Independently handled Inspection of wholly owned subsidiary of Inter-connected Stock Exchange and its subbrokers. Ensuring timely preparation & completion of Inspection Report for placing before the Board.

- Verifying the weekly MIS received from Registrar & Transfer Agent (RTA) and finalizing the Quarterly Report to be submitted to SEBI. Also Coordinating with RTA of the Company and managing all RTA related activities with specific reference to turn-around time

- Submission of Statutory Compliance Report on a monthly basis to SEBI under SEBI (Stock Broker/Sub-broker) Regulations, 1992.

- Closely monitoring & managing routine & other communications received from Investors, Stock Exchanges, MCA, SEBI, Income Tax Department etc.

- Preparing Application for Renewal of Recognition of the Stock Exchange for submitting it to SEBI. Making all the arrangements for Publication of necessary documents of the Stock Exchange in the Official Gazette of Maharashtra & India.

- Monitoring and ensuring Non-cash Base Minimum Capital (BMC) maintained by Stock Brokers with the Stock exchange & take corrective action accordingly.

- Transfer of Shares from Resident to NRI and RBI compliances relating to it. Intimation of foreign remittance to RBI as per FEMA Guidelines by prepared Part A & Part B of Form FC - GPR in respect to Foreign Investment in Indian Companies and their Annual reporting to RBI.