Workshop on ‘Role of Compliance Officers of Listed Companies

November 17-18, 2017 | NISM Bhavan, Navi Mumbai

FIS 24.5.2107


National Institute of Securities Markets (NISM) in association with the Institute of Company Secretaries of India-Centre for Corporate Governance Research and Training (ICSI-CCGRT) had conducted a two-days Workshop on ‘Role of Compliance Officers of Listed Companies’ on November 17-18, 2017 at NISM Bhavan, Navi Mumbai.


The objective of this workshop was to provide a better and deeper understanding of the compliance requirements of listed companies as envisaged under the SEBI Regulations and the Companies Act, 2013. The programme also aimed at updating the participants on the current developments in the compliance space through a practical approach.


The Workshop was inaugurated by Shri. Sandip Ghose, Director, NISM.


Shri M. Krishnamoorthy, Member of Faculty, NISM, was the Programme Director.


The topics/areas covered in the programme were as under:

  • Role of Compliance Officers under Securities Law

  • Issuer’s compliance requirements under :

    • SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009

    • SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

    • SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011

    • Companies Act, 2013

  • Recent Developments in Corporate Governance space

The Sessions were handled by experts and practitioners of Capital Markets viz:

  • Ms. Neelam Bhardwaj, Ex-General Manager, SEBI and Independent consultant

  • Ms. Shaileshri Bhaskar, CS Practitioner

  • CS. Mr. Narayan Shankar, EVP and Company Secretary, Mahindra and Mahindra

  • Ms Nila S Khanolkar, Asst. General Manager, SEBI

Certificate of Participation was issued to all the participants at the end of the programme.


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