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PGDM 2019

Workshop on “Role of Compliance Officers of Listed Companies"

December 02-03, 2019 | Kolkata

 

Role of Compliance Officers

 

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 December 02-03, 2019 at Kolkata.

 

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.

 

Role of Compliance Officers

 

Ms. Barnali Mukherjee, Chief General Manager, Securities and Exchange Board of India (SEBI), inaugurated the workshop. In her inaugural address, Ms. Barnali 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.

 

Role of Compliance Officers

 

Ms Aditi Jhunjhunwala, Senior Associate, Vinod Kothari & Company, explained the roles assigned to Compliance Officers under the Companies Act, 2013, especially the functions relating to handling Board and Shareholders matters and elucidated the participants about the applicable provisions of the Companies Act, 2013, governing further mobilization of capital by listed companies.

 

Role of Compliance Officers

 

Mr. Ashok Kumar Singh, Asst. General Manager, Listing & Compliance, BSE Ltd, provided Stock Exchange perspective of the procedures to be adhered to by listed companies at the time of further issuer of capital.

 

Role of Compliance Officers

 

Ms. Mamta Binani, Founder Partner, Mamta Binani & Associates, discussed about the provisions relating to SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011.

 

Role of Compliance Officers

 

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.

 

Role of Compliance Officers

 

Mr Avinash Kharkar, former Head of Listing, NSE, during his Session provided a Stock exchange perspective of Corporate Governance in general and more particularly, highlighted the recent changes to SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

 

Role of Compliance Officers

 

Ms Pammy Jaiswal, Partner, Vinod Kothari & Company, apprised the participants about the nitty-gritties of SEBI (Prohibition of Insider Trading) Regulations, 2015.

 

Role of Compliance Officers

 

Around 20 participants from 15 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.

 

Role of Compliance Officers

 

Mr.Atanu Pan, Regional Director, Eastern Regional Office (ERO), SEBI, in his valedictory address, spoke at length about the importance of Compliance function and the issues & challenges surrounding it. Mr.Athanu also handed over the certificate of participation to the compliance officers.

The Workshop concluded with a Vote of Thanks.

 

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