Cs Payal Gupta Email & Phone Number

Empaneled by SEBI to provide training in Capital Market, focusing on enhancing financial literacy and empowering aspiring investors.

Mumbai, Maharashtra, India

ERIX Advisors specializes in corporate secretarial work, SEBI regulated framework, ESOP/ESPS/SARs, cross listings on another Stock Exchange for already listed companies, IPOs (SME & Main Board), migration from SME to mainboard, preferential allotment, bonus issue, rights issue, REITs/INVITs, corporate bonds, mutual funds, ETF listings, commercial papers and securitized debt instrument etc.We also provide services related to Corporate Laws, Securities Laws, FEMA, ROC matters, SEBI matters, RBI, Income Tax, NCLT/DRT, Goods and Service Tax, Intellectual Property Rights, Businesses Advisory, Formation and Management of Companies/NGOs and such other ancillary services.

Mumbai Area, India

Served as a Deputy Manager in Listing Approvals and have handled following assignments:• Scrutinize documents from listed companies as per checklist to ensure adherence with compliance norms and requirements w.r.t. applicable SEBI Regulations/Circulars including Pre-allotment, post allotment and trading approvals which interalia included following:1. Scheme of Arrangements2. Bonus3. Preferential Issue4. ESOP 10(b)/ESPS/SARs5. Rights6. Migration from SME to Mainboard7. Mutual Fund/ETF8. 19(2)(b) Listings9. Direct Listings10. IPO (SME & Main Board)11. REITs/Invits 12. Corporate Bond and Commercial Papers13. Securitized Debt Instruments14. G-sec/Gold Bonds/T-Bills Listing• Revamping the system modules to save time for the Companies as well as Exchange. Also done several site visits for the Companies which are coming for IPO/Direct Listing.• Issue approval notes, non-compliance letters and show cause letters to listed companies as per specified guidelines.• Working on various Data Request by SEBI, MoF & another govt departments etc.• Liasoning with Listed Companies and various Regularities.• Acted as a speaker in the Telennar conducted for listed Companies for “Frequently Asked Questions Related to Further Issue of Bonus, ESOP/ESPS, Scheme and Preferential.”

Mumbai, Maharashtra, India

I was the Secretarial department head there and handled:

• Incorporation, Striking – off and Annual filing of LLPs and associated work.
• Refund claim for double payment made in lieu of incorporation to the ROC.
• Registration of Liaison Office in India of Foreign Company and Annual Filing Compliances for the same.
• Company Incorporation through SPICe mode. Registration of partnership firm.
• Director’s appointment, resignation and regularisation.
• Compliances related to Share Transfer; increase in Authorized Share Capital; and Preferential Allotment, Buy-Back of Shares, Conversion of Loan into Shares & Company closure, Charges creation and reduction etc.
• Compliances w.r.t. DSC Registration Class-2 & Class-3; DIN Application; shifting of Registered Office of LLP within the local limits; appointment of Cost and Statutory Auditor; appointment of Company Secretary & Managing Director and like.
• Disqualification removal of Directors via Condonation of Delay Scheme, 2017.
• Drafting of Reply to ROC letters, Preparation of Search Report, Drafting of Various Agreements and Shifting of Registered Office of Companies.
• Company revival in NCLT.
• Dealing in Compliances related to SEBI, RBI, NBFC & FEMA

Agra Area, India

• Assisted in Merger; Shifting of Registered office from one state to another & within local limits too; Annual Filling of a Public Company and its 32 Subsidiaries; conversion of a private limited company into Section 8 Company; XBRL filling; acceptance of Deposits by a Public Company and associated compliances work.• Maintaining of various statutory registers, records and share certificates.• Incorporation of Private Companies, LLP & Section 8 Company.• Drafting of various law related resolutions, agenda & minutes of Board and General Meetings.• Handling of issues such as increase in Authorised Capital, Bonus Issue, Right Issue, Private Placements, Auditors appointment & resignation, Getting DIN, Alteration of MOA & AOA and Name Change and Object Change of Private Company.

Āgra Area, India

I was a part of Vigilance team there.

Social Impact Assessor

Mutual Fund Distributors

Securities Market Foundation

Cs, Company Law, Nbfc & Rbi Compliances,

Ll.B.

B. Com

Secondry Higher Education, Accounts