18th Sep 2019

Two-Day Workshop Role of Compliance Officers of Listed Companies

Event Information


The School for Corporate Governance (SCG) of the National Institute of Securities Markets (NISM) conducted a Two-Day Workshop on ‘“Role of Compliance Officers of Listed Companies’ on October 11-12, 2019 at NISM Bhavan, Navi Mumbai.


The objective of the Workshop was to provide a deeper and thorough 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, welcomed the participants to the Workshop and requested them to take the benefits out of the knowledge and rich experience of the faculty members. He 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.


Mr Suresh Vishwanathan, Founder Director, Finteglaw Knowledge Solutions Private Ltd, during his Sessions explained the provisions of Companies Act, 2013, relating to Shareholder & Board Specific Functions and procedures for raising of Capital by issuer companies.


Shri B Renganathan, Executive Vice President and Company Secretary of Edelweiss Financial Services Limited, elucidated the participants about the nuances of the recent changes in SEBI (Prohibition of Insider Trading) Regulations, 2015 and SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011.


On the second day of the Workshop, Mr Pradeep Ramakrishnan, General Manager, SEBI, took a Session on SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and addressed the queries raised by the participants through relevant examples.


Ms Yogita Jadhav, Deputy General Manager, SEBI gave a regulatory perspective of SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018. Mr.Avinash Kharkar,former Head of Listing, NSE, provided Stock Exchange perspective of “mechanisms for further raising of capital” by listed entities.


Dr.V.R.Narasimhan, Dean, NISM, elucidate the participants about the principles of corporate governance. The Dean emphasized the need to engage the top management of listed companies for effectively performing this function. He also mentioned 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.


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


The Workshop concluded with a Vote of Thanks.