1. To ensure the compliance with the following regulations:
SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder. SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers
SEBI (Intermediaries) Regulations, 2008
Prevention of Money Laundering Act, 2002, as applicable for SEBI Registered
Intermediaries.
SEBI LODR
1. Drafting, vetting, reviewing and negotiating the legal documents such as:
Standard Operating Procedures
Regulatory Policy framework
Website updations with respect to Regulatory requirement, Disclaimers etc.
Regulatory show cause notices, adhoc queries, and inspection notices.
1. Further Responsibilities:
To ensure compliance with circulars, notifications, guidelines issued by the stock exchanges from time to time. To discuss impact analysis of applicable regulatory framework with the management, prepare and implement compliance calendar etc.
Experience of handling internal, statutory audits & inspection from Stock
Exchanges and SEBI.
To liaison with the Stock Exchanges, Clearing Corporations, SEBI and