Dharmesh Ved Email & Phone Number

Mumbai, Maharashtra, India

Core Responsibility -  Developing, implementing and administering a compliance framework centered on detection, prevention and response. Developing strategies to implement compliance codes, policies and procedures based on local, regional, or global requirements. Managing Regulatory Affairs. Presenting a comprehensive assessment on compliance risks to senior management and the Board. Coordinating with other functions like global public affairs, legal department and… Show more Core Responsibility -  Developing, implementing and administering a compliance framework centered on detection, prevention and response. Developing strategies to implement compliance codes, policies and procedures based on local, regional, or global requirements. Managing Regulatory Affairs. Presenting a comprehensive assessment on compliance risks to senior management and the Board. Coordinating with other functions like global public affairs, legal department and audit on compliance matters Providing day-to-day compliance guidance, advice, training and support to lines of business. Show less

Mumbai, Maharashtra, India

Core Responsibility - Support business growth within the Regulatory and Group policies by providing a strong and dynamic Compliance framework*. Lead, manage and organize WM India Compliance function Assess and present a consolidated vision of Compliance risks Develop a Governance framework by putting in place Policies, Procedures and Control Testing Plan consistent with Group policies. Guide, Support and Train all Businesses in India on PIC Domain*Compliance… Show more Core Responsibility - Support business growth within the Regulatory and Group policies by providing a strong and dynamic Compliance framework*. Lead, manage and organize WM India Compliance function Assess and present a consolidated vision of Compliance risks Develop a Governance framework by putting in place Policies, Procedures and Control Testing Plan consistent with Group policies. Guide, Support and Train all Businesses in India on PIC Domain*Compliance framework covers - AML/KYC/Sanctions, Client On-boarding Protection of Clients’ Interest. Market Integrity and Professional Ethics Regulatory developments & impact analysis. Advice, Guide, Resolve, Train on Compliance matter. Product analysis; Suitability Framework; Compliant Handling; Conflict of Interest Participate in framing Group level Policies (Code of Conduct, Chinese Wall, Gift, Invitation and Entertainment Policy, Personal Account Dealing, Anti-Bribery and Anti Corruption Policy). Activities: Receive (outcomes), Analyze (gaps) and Present (risks & corrective actions) results of Compliance Control Tests Provide guidance/advice/training on Compliance matters Represent at regulatory bodies and ensures regulatory watch Develop framework for Product Validation, Suitability and RM monitoringKey Interaction : Territory Head, Global Head & Regional Head of WM Compliance Regional/Global Compliance Domains and Compliance teams of other Regions/Businesses Other Control functions (Audit, OPC, Legal, HR, etc.) Show less

Mumbai Area, India

Private banking and Wealth Management

Core Activities Monitoring compliance of Listing Agreement clauses / SEBI Regulation by listed companies. Initiating disciplinary actions against the erring companies. Representing BSE on various Committees constituted by SEBI/MCA.Developing Systems for prompt dissemination of Corporate Announcements & ensuring smooth transition of Corporate Actions Formulating listing norms for consideration by the Listing Committee on various modes of listing Scrutinizing Documents… Show more Core Activities Monitoring compliance of Listing Agreement clauses / SEBI Regulation by listed companies. Initiating disciplinary actions against the erring companies. Representing BSE on various Committees constituted by SEBI/MCA.Developing Systems for prompt dissemination of Corporate Announcements & ensuring smooth transition of Corporate Actions Formulating listing norms for consideration by the Listing Committee on various modes of listing Scrutinizing Documents for listing of securities Attending to Court/SAT matters.Key ContributionsImplementation of - Indian Corporate Electronic Reporting System (ICERS) ISO 9001:2000 standards Document Management System. Show less

Successfully carried out the process of transforming the AOP status of BSE into a Corporate entity - Bombay Stock Exchange Limited - in a short span of 3 months. Core Activities Ensuring compliance with Rules/Bye-laws of BSE and Code of Ethics for better Corporate Governance. Also ensuring compliance of SEBI Circulars, MoF Circulars, Board decisions. Responsible for Regulatory filings with SEBI, ROC, MoF, etc.Interpretations /amendments/ modifications of Rules and Bye-laws… Show more Successfully carried out the process of transforming the AOP status of BSE into a Corporate entity - Bombay Stock Exchange Limited - in a short span of 3 months. Core Activities Ensuring compliance with Rules/Bye-laws of BSE and Code of Ethics for better Corporate Governance. Also ensuring compliance of SEBI Circulars, MoF Circulars, Board decisions. Responsible for Regulatory filings with SEBI, ROC, MoF, etc.Interpretations /amendments/ modifications of Rules and Bye-laws of the Exchange Conducting Meetings of Board of Directors and various Committees viz. Audit Committee, Ethics Committee, etc.Key ContributionsImplemented BSE (Corporatisation and Demutualisation) Scheme, 2005.Prepared reports for Board of Directors on various matters such as Trading Modules, Revival of Regional Stock Exchanges, Divestment, BCP, Code of Ethics, etc.Complied MIS/ATR Reports for Joint Parliamentary Committee Show less

Job Profile Scrutinizing and approving various documents such as Articles of Association, Prospectus/Letter of Offer, Call Notices/Share Certificates, etc. Granting approvals for Listing Applications of Initial Public Offering, Rights Issue, Bonus Issue, Private Placements, Preferential Issues, Amalgamation and Mergers/De-mergers/Spin-offs, Direct Listing, Bonds, etc.

Bachelor Of Commerce;

Masters, Financial Management

Education record

Postgraduate Diploma Course In Securities Law (Government Law College, Mumbai) CAMS - Certified Anti Money-Laundering Specialist.

Education record

Education record