Prepare a compliance
checklist as per the requirment of transaction.
Follow-up and monitor
pre and post compliance and covenants periodically
Prepare and review
various SEBI regulatory reports/submissions, internal processes/policies, and other
documents and ensure compliance with the internal and external regulatory
frameworks.
Obtain and review
quarterly compliance reports (QCR) to clients
Monitor security cover
and issue consent/NOC/PARI PASSU letters when required.
Work on obtaining and
reviewing monthly, quarterly, half-yearly and annual certificates for listed issues
Review various due
diligence reports from third parties such as valuation reports, CA certificates, etc
Coordinate with clients,
vendors, and professionals as applicable
Ensuring timely
submission of periodic compliances.
Time to time intimation
to Stock exchange, rating agencies and depositories.
Issue of Due Diligence
certificate through Distributed Ledger Technology
Prepare synopsis on
circulars, guidelines, regulations issued by SEBI.
Work on the timely
registration of change with ROC/CERSAI/NeSL.
Work on general
compliance activities of the trustee transactions & maintain the tracker on an
ongoing basis.
