Ashwani Kumar Email & Phone Number

Gurugram, Haryana, India

Gurgaon, India

Key Highlights:• Ensuring Compliance related to various regulatory activities such as, Custodian, DDP, PCM, as per the Rules and Regulations of SEBI, NSE, BSE, MSEI, MCX Commodity, NCDEX, RBI, NSDL, CDSL etc.• Role entails accessing the compliance with FATCA/CRS standards, AML risk of all existing and new clients.• KYC and Client On-boarding operations for both Overseas and Domestic clients.• Subject Matter Expertise (SME) in handling Client KYC and On-boarding of FPIs, NRIs, FDI, FVCI, AIF, PMS, Body Corporate, Family Offices, Trusts, Other Regulated entities, Individuals, Partnerships Firms, Limited Liability Partnership (LLP), Limited Liability Company(LLC) etc.

•Compliance related to various regulatory activities in broking house. •Drafting of agenda, resolutions, minutes and other documents involved in Board meetings and maintainsthe records of the Company.•Appear before the courts, tribunals and other judicial and quasi judicial bodies, liaison with advocates, solicitors and/or legal consultants regarding the consumer disputes, civil and criminal litigation by or against the Company.•Preparation & Drafting of necessary documents, agreements etc. in case of sub- broker registration

•To guide & assist the clients about the necessary provisions relevant to the Demat account, Shares Trading account, Commodities Trading account. •To provide necessary guidance to the clients regarding Initial Public Offers (IPO) & Follow on Public Offers (FPO).•Liasoning with the various Agencies i.e. Share or Stock-Brokers, Sub-Brokers, HNI Clients etc. •Coordination & Follow up with the clients.

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