Anand Rathi - Mumbai, India - Anand Rathi Group

Description

• IB & MB Regulatory Compliances
• Monitoring of internal IB & MB organizational Policies and Processes
• Redressal of MB related investor's grievances
• Managing External Audits of various authorities including SEBI Inspections of MB
• IB & MB Internal Audits Support
• Regulatory Advice to MB clients and MB deal teams
• MB Transactions related documentation review
• IB & MB Business Units related Documents approval

• MB Business related Regulations, MB Deals related Rules & Regulations and Periodic reporting, filings and submissions to SEBI, RBI or any other relevant regulatory authority
• Maintenance and updating of SDD
• 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
• Maintenance and updating of Restricted/ Grey lists and compliance with the same. Will also include trading approvals.
• SEBI Inspections, SEBI Risk Supervision exercise, SEBI Registration and renewals and Info sharing with SEBI
• Internal Audit, Risk Audit, Finance Audit, Secretarial Audit, Research Audit and Statutory Audit support
• 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]
• 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.
• Drafting and Review of Engagement Letters, NDAs and Demand Notices for fee recovery
• Database of relevant SEBI Orders, Adjudication Orders, Court Rulings, SAT Rulings & Informal Guidance
• Any other matters as may be required to be performed by a Compliance Officer