Workshop on “Role of Compliance Officers of Listed Companies"

October 18-19, 2019| NISM Office, Chennai


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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 18-19, 2019 at NISM Office, Overseas Towers, Chennai.


The Workshop was organized with the objective of bridging the gap between theory practice in regard to the various compliance requirements prescribed under the Companies Act, 2013 and SEBI Listing Regulations. The Workshop also was aimed at updating the participants with the recent developments in the listing space.


Mr. 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.


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Mr. B Rajendran, Regional Director, Southern Regional Office, Securities and Exchange Board of India (SEBI), inaugurated the workshop. In his inaugural address, Mr.Rajendran stated that the Compliance Officers are an extended arm of the Regulators and they have a greater role to play in ensuring compliance in both letter and spirit.


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Mr K S Ravichandran, Managing Partner, KSR& Co, explained the roles assigned to Compliance Officers under the Companies Act, 2013, especially the functions relating to handling Board and Shareholders matters.


Mr C V Madhusudhanan, Partner, KSR & Co, elucidated the participants about the applicable provisions of the Companies Act, 2013, governing further mobilization of capital by listed companies.


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Mr.Eshwar Sabapathy, Managing Partner, Eshwars - House of Corporate & IPR, Laws apprised the participants about the nitty-gritties of SEBI (Prohibition of Insider Trading) Regulations, 2015 with illustrative case studies. He also discussed about the provisions relating to SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011.


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On the second day of the Workshop, Mr. M Krishnamoorthy, Member of Faculty, NISM, took a detailed Session on “Overview of Corporate Governance in India” and he enlightened the participants with examples from the latest developments in the corporate sector.


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Mr Pradeep Ramakrishnan, General Manager, SEBI, during his Session provided a regulatory perspective of Corporate Governance in general and more particularly, highlighted the recent changes to SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015. He also underlined the latest developments in Secretarial Audit and Secretarial Compliance Report as envisaged under the Companies Act, 2013 and the rules made there under.


Mr Rajendra Bhosale, Manager, Listing-Compliance, National Stock Exchange of India Ltd (NSE), provided Stock Exchange perspective of the procedures to be adhered to by listed companies at the time of further issuer of capital.


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Around 16 participants from 12 listed companies attend the Workshop and benefitted from the deliberations. 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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