Workshop on “Role of Compliance Officers of Listed Companies”

May 11-12, 2018 | NISM Bhavan, Navi Mumbai





The School for Corporate Governance (SCG) of the National Institute of Securities Markets (NISM) had conducted a Two-Day Workshop on ‘“Role of Compliance Officers of Listed Companies’ on May 11-12, 2018 at NISM Bhavan, Navi Mumbai.


The objective of the Workshop was to provide a clear understanding of the compliance requirements of listed companies under the Companies Act, 2013 and SEBI Regulations and also to update the participants with the latest developments in the regulatory space.


Shri M. Krishnamoorthy, Member of Faculty, NISM and Programme Director, welcomed the participants to the Workshop and requested them to take the benefits out of the knowledge and rich experience of the faculty members.




Dr.M.Thenmozhi, Director, NISM, inaugurated the Workshop and spoke about the role and responsibilities of Compliance Officers and highlighted the emergence of compliance function as an area of greater focus in recent times. Director, NISM, also dwelt upon the need to engage the top management of listed companies for effectively performing this function. She also emphasized that compliance is absolutely non-negotiable and that this belief has to find roots at the top and steadily percolate to all levels in a listed company.






Shri K. Venkatraman, Practising Company Secretary, apprised the participants of the role of compliance officers and also the compliance requirements under the Companies Act, 2013.


Shri B Renganathan, Executive Vice President and Company Secretary of Edelweiss Financial Services Limited, explained to the participants about the nuances of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2009 and SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011, from an investment banker perspective.


Shri Pradeep Ramakrishnan, Deputy General Manager, SEBI, elucidated the participants with the nitty-gritties of the Uday Kotak Committee Recommendations on Corporate Governance and subsequent amendment to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.




Ms Savitri Parekh, Vice President, Compliance & Legal, Pidilite Industries Ltd, provided an industry perspective of insider trading and related party transactions with illustrative case studies.


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


The Workshop concluded with a Vote of Thanks.


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