Sending and implementing circulars of SEBI, Exchanges, Depositories

Account opening queries including of NRI and approving various processes of account opening

Handling compliance on Insider Trading Regulations (employee trading)

Review of various policies of the organization

PMS Compliances including half yearly and Disclosure documents

Making representation to Regulators.

Making submissions of various regulatory reportings to Regulators.

Handling Inspection/Internal Audits/System Audit/Cyber audit

Research regulations related compliance

Handling Sebi/Exchange investigations

Replying to Surveillance related mails from Regulators

Reply to Observation letters/show cause notices

📌 Team Member - Core Compliance (Mumbai)
🏢 Kotak Securities
📍 Mumbai