Ensuring compliances with SEBI under the Portfolio Manager, Alternate Investment Fund, FII Rules & Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed.
Ensuring secretarial compliances under the Companies Act, 1956 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and prepare minutes thereof. Follow-up on matters where required to ensure that the decisions of the board are implemented
Drafting and finalizing agreements, documentation with clients and other service providers. Attending to other legal matters of the group.
Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits. Responding to inspections, regulatory and audit queries as the principal point of contact
Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies
Handling special assignment relating to Business initiatives to the extent impacting Compliance and Legal affairs.
Implementing compliance policies and procedures. Conducting compliance trainings for the employees. Dealing with compliance queries raised by employees of various business divisions
Monitoring personal account dealings of the employees. Conducting restricted area access reviews and compliance audits and helping in the Risk management
Assisting in fulfilling the registration and licensing requirements of the entities
Conducting internal compliance review and monitoring activities, including periodic reviews of departments
Assist in developing global compliance practices and procedures
