Regulatory Compliance:

<p>&nbsp;</p> a. Stay updated on SEBI regulations and other relevant laws governing PMS <p>&nbsp;</p> b. Ensure compliance with all applicable regulations and reporting requirements <p>&nbsp;</p> c. Conduct periodic audits to verify compliance across PMS operations <p>&nbsp;</p> 2. Risk Management: <p>&nbsp;</p> a. Develop and implement risk management strategies for PMS portfolios <p>&nbsp;</p> b. Monitor and assess potential compliance risks in PMS operations <p>&nbsp;</p> c. Collaborate with portfolio managers to ensure adherence to risk parameters <p>&nbsp;</p> 3. Policy Development and Implementation: <p>&nbsp;</p> a. Create and maintain compliance policies and procedures for PMS operations <p>&nbsp;</p> b. Implement control systems to prevent violations and identify non-compliance issues <p>&nbsp;</p> c. Review and update policies in line with regulatory changes <p>&nbsp;</p> 4. Reporting and Documentation: <p>&nbsp;</p> a. Prepare compliance reports for management and regulatory authorities <p>&nbsp;</p> b. Maintain accurate records of all compliance activities and audits <p>&nbsp;</p> c. Ensure proper documentation of client agreements and disclosures <p>&nbsp;</p> 5. Training and Education: <p>&nbsp;</p> a. Conduct regular training sessions for PMS staff on compliance matters <p>&nbsp;</p> b. Develop educational materials to promote a culture of compliance <p>&nbsp;</p> 6. Client Protection: <p>&nbsp;</p> a. Oversee the implementation of client onboarding processes <p>&nbsp;</p> b. Ensure adherence to KYC norms and investor suitability assessments <p>&nbsp;</p> c. Monitor and address client complaints related to compliance issues <p>&nbsp;</p> 7. Liaison and Communication: <p>&nbsp;</p> a. Act as the primary point of contact for regulatory inquiries and audits <p>&nbsp;</p> b. Collaborate with legal, operations, and investment teams on compliance matters <p>&nbsp;</p> c. Communicate compliance updates to relevant stakeholders <p>&nbsp;</p>