Role of Compliance Officers


National Institute of Securities Markets (NISM) had conducted a Two-day Workshop on ‘Role of Compliance Officers of Listed Companies’ on February 23-24, 2018 at NISM Bhavan, Vashi, 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 theparticipants on the current developments in the compliance space through a practical approach.


The Workshop was inaugurated by Shri. G P Garg, Registrar, 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

  • Compliance and Monitoring Mechanism at SEBI


Role of Compliance Officers


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


  •  Shri K Venkataraman, CS Practitioner
  •  Shri TTPS Chakravarthy, Deputy General Manager, SEBI
  •  Neelam Bhardwaj, Ex-General Manager, SEBI and Independent consultant
  •  Shri B Renganathan, AVP & Compliance Officer, Edelweiss

Shri Sandip Ghose, Director, NISM, addressed the Valedictory Session and handed over the Certificate of Participation to all the participants.


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