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Workshop on “Role of Compliance Officers of Listed Companies”

January 17-18, 2020| New Delhi

 

NISM

 

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 January 17-18, 2020 at New Delhi.

 

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 governing listed companies. 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 speakers.

 

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Mr. Sharad K Sharma, Regional Director, Northern Regional Office, Securities and Exchange Board of India (SEBI), inaugurated the workshop. In his inaugural address, Mr. Sharad Sharma informed the participants 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. Pramod Kumar Rai, Associate General Counsel and Compliance Officer, Nestle India Limited, explained the role and responsibility of the Compliance Officers under the Companies Act, 2013 SEBI Listing Regulations and SEBI Insider Trading Regulations.

 

Mr Rajendra Bhosale, Manager, Listing Compliance, National Stock Exchange (NSE), took a Session on Further Public Issuance under SEBI (ICDR) Regulations 2018. He gave a Stock Exchange perspective of the various compliance procedures to be adhered to by listed companies for further fund mobilization.

 

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Ms. Mansi Chheda, Manager, Listing Compliance, National Stock Exchange (NSE), spoke in detail about the provisions of SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and addressed the queries raised by participants on various compliance procedures.

 

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Mr. Sanjeev Grover, Company Secretary, Maruti Suzuki Ltd, apprised the participants about the nitty-gritties of SEBI (Prohibition of Insider Trading) Regulations, 2015.

 

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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 enlightenebd the participants with examples from latest developments from corporate sector.

 

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Mr TVVPS Chakravarti, 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 spoke in detail about the role and responsibilities of Board of Directors & Compliance Officers and outlined the expectations of the Regulator about the listing compliance.

 

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Mr. Lalit Kumar, Partner, J.Sagar Associates, during his Session provided legal perspective of SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 2011, through relevant case studies from the corporate space.

 

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Around 24 participants from 18 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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