Prateek Mohan

IICA Certified Independent Director with 20+ years of hands-on experience in India's capital markets ecosystem — spanning CDSL, stock broking, and SEBI-regulated intermediaries. Brings to the board deep working knowledge of SEBI LODR, depository regulations, PMLA compliance, investor protection frameworks, and audit oversight. Proven ability to engage regulators, strengthen governance processes, and provide independent oversight on risk, compliance, and operational matters.

Vice President – Operations & Compliance at Farsight Securities Limited (2025-05 – 2025-10)

• Oversaw operations and compliance functions across the organisation, strengthening governance processes.
• Ensured adherence to regulatory requirements under SEBI and Exchange frameworks.

Associate Vice President – Exchange Compliance at SMC Global Securities Ltd (2023-12 – 2024-05)

• Led compliance oversight for Research Analyst (RA) and PMLA functions.
• Designed and implemented compliance frameworks aligned with SEBI and Stock Exchange regulations.

AVP & Head – North India at CDSL (Central Depository Services India Ltd) (2010-11 – 2023-05)

• Led regional operations, stakeholder engagement, audits, and DP inspections across North India for 12+ years.
• Spearheaded investor grievance redressal mechanisms and drove investor awareness across the region.
• Executed strategic national-level projects including E-Voting implementation and Aadhaar-based KYC integration.
• Represented CDSL in coordination with SEBI, Stock Exchanges, NSDL, and Government agencies.

Senior Manager – Head Depository Operations at Indiabulls Securities Ltd (2006-03 – 2010-10)

• Headed depository operations including DP compliance, client servicing, and regulatory reporting.

Deputy Manager at CDSL (2003-11 – 2006-02)

• Managed depository participant relations, onboarding, and operational compliance in early career at CDSL.

MBA in Finance – BVIMR, University of Pune

B.Com – Nagpur University