Prashant

Looking forward to get more opportunities and work in challenging environment to explore and sharpen my skills. Seeking an interesting opportunity where I can make the best of my potential and contribute to the organisation's growth.

Executive - Multi Commodity Exchange of India Limited (MCX)

(2023-06 - 2026-04)

Regulatory Compliance Activities

• Analysis of alerts available on Financial Intelligence Unit of India (FIU-IND) and sending suitable replies to FIU.
• Filing of Suspicious Transaction Report (STR) on the FIU portal.
• Drafting and reviewing the policies pertaining to Compliances based on the applicable SEBI directives.
• Facilitating SEBI Exchange inspection.
• Drafting and reviewing the Agenda items with respect to the correspondence with the regulator related to Board meeting, Public Interest Director Committee meeting, Regulatory Oversight Committee meeting etc.
• Designing of compliances checklist containing list of all applicable SEBI directives pertaining to Exchange.
• Obtaining confirmation from all the concerned department regarding the applicable SEBI directives through compliance checklist/JIRA on monthly, quarterly, half yearly, yearly basis etc.
• Handholding and following up with respective departments regarding implementation of SEBI directives.
• Facilitating and following up with the respective departments to reply to SEBI letters/emails with regard to queries raised by SEBI within given timeline.
• Handling of Exchange Prevention of Money Laundering (PML) related compliances.
• Liaising with the Audit team during audit process.
• Maintaining Compliance and Early Warning System (EWS) tracker.
• Creation of actionable in JIRA software and follow up.
• Follow up and compilation of data for all periodic reporting including MDR. Annual return etc.

Management Trainee - Multi Commodity Exchange Clearing Corporation Limited (MCXCCL)

(2021-10 - 2023-03)

Secretarial & Compliance Activities and Corporate Legal Activities

• Interpreting and ensuring the compliance with the provision of SECC Regulations, 2018, Companies Act, 2013, SEBI Listing Regulations, 2015, SEBI (PIT) Regulation, 2015, Secretarial Standard, directives/guidelines/circular etc issued by the Regulator
• Preparing the compliance calendar and handling applicable Annual/Half yearly/Quarterly/Monthly/Event based compliance
• Drafting the agenda/minutes/circular resolution of Board/various Committees of the Board. Compiling the agenda papers for circulating it to the members of Board/respective Committee
• Drafting Notice/Minutes/Transcript/Outcome/Proceeding of General Meeting.
• Co-ordinating with various departments for finalising the Annual Report of the Company
• Circulating the Relevant Extracts of Board/Committee meetings to the respective department and following up with the said departments for presenting to the Board/Committee Members the updated status of the actionable arising from the previous meetings
• Filing the e-form on the MCA portal (filing of event based forms and Annual filing)
• Maintaining the statutory Registers
• Online search and verifying records at MCA portal for preparation of search reports
• Appointment/Re-appointment/Regularisation of Directors. Appointment of Managerial Personnel and obtaining the periodic disclosure/declarations from them
• Maintaining the database, tracking shareholding of Designated Persons, obtaining initial/annual/periodic/continual disclosures from the Designated Persons as per SEBI (PIT) Regulations, 2015
• Co-ordinating with various departments for seeking the requisites information and for ensuring the compliance with the instruction given by the Board/Committee members
• Drafting/Modifying the applicable Policies/Code.
• Providing necessary assistance to Secretarial/Internal/Statutory/Risk Auditors of the Company to enable them to complete their audit seamlessly and to address various queries raised by the auditors
• Drafting of the letters/replies proposed to be submitted to Regulator/other stakeholders and providing the necessary assistance to the Regulator during the Inspection
• Providing Off Site inspection data to SEBI for Automation
• Providing Pre Inspection Questionnaire (PIQ) data to SEBI
• Preparing Monthly Development Report (MDR) and Monthly Information (MIS) proposed to be submitted to SEBI
• Vetting of Agreement/letter, Execution of Non – Disclosure Agreement (NDA)
• Maintaining the litigation tracker and NDA Tracker
• Reviewing the response proposed to be filed in the Court w.r.t various cases filed against the Company
• Preparing Vakalatnama, arranging for notarising the petitions/responses proposed to be submitted in the Court, following up with the Advocates for getting the status of hearing of various cases
• Ensuring the compliance with the SOP of Corporate Legal Department
• Handling the Audit of Corporate Legal Activities

Company Secretary - CS - Institute of Company Secretaries of India (ICSI) (2020-12)

Bachelor of Law - LLB - Lords Universal College (affiliated to Mumbai University) (2023-11)

Bachelor of Commerce - B.Com - Mumbai University (2018-05)