Anand Rathi - Compliance Officer

IB & MB Compliances

1. IB & MB Regulatory Compliances

2. Monitoring of internal IB & MB organizational Policies and Processes

3. Redressal of MB related investor's grievances

4. Managing External Audits of various authorities including SEBI Inspections of MB

5. IB & MB Internal Audits Support

6. Regulatory Advice to MB clients and MB deal teams

7. MB Transactions related documentation review

8. IB & MB Business Units related Documents approval

JOB SPECIFICATIONS / FOCUS AREAS:

1. MB Business related Regulations, MB Deals related Rules & Regulations and Periodic reporting, filings and submissions to SEBI, RBI or any other relevant regulatory authority

2. Maintenance and updating of SDD

3. Drafting and implementation of Advisory Policy, MB Policy and Underwriting Policy, Monitoring of Insider Trading Prohibition Policy and redressal of investors grievances of MB Transactions

4. Maintenance and updating of Restricted/ Grey lists and compliance with the same. Will also include trading approvals.

5. SEBI Inspections, SEBI Risk Supervision exercise, SEBI Registration and renewals and Info sharing with SEBI

6. Internal Audit, Risk Audit, Finance Audit, Secretarial Audit, Research Audit and Statutory Audit support

7. Issue of Securities [IPO, FPO, OFS, Rights, QIP, Debt Issues], Exit Offers [Open Offer, Buyback Offer, Delisting Offer] and Other Advisory [M&A Schemes, ESOP]

8. Review of Appointment Letters, Offer Agreements, Escrow Agreements, Syndicate Agreements, Underwriting Agreements, Offer Documents and Letters and documents. Discussion and negotiation with relevant counsels/ third parties for the same.

9. Drafting and Review of Engagement Letters, NDAs and Demand Notices for fee recovery

10. Database of relevant SEBI Orders, Adjudication Orders, Court Rulings, SAT Rulings & Informal Guidance

11. Any other matters as may be required to be performed by a Compliance Officer