• Formulating and successfully implementing policies• Developing strategic operating plans that reflect the longer-term objectives• Make the CAPMAL to run at profitable operation• Putting in place adequate operational planning and financial control systems• Closely monitoring the operating and financial results against plans and budgets• Maintaining the operational performance of the company• Maintaining full accountability to the board and key share holders for all… Show more • Formulating and successfully implementing policies• Developing strategic operating plans that reflect the longer-term objectives• Make the CAPMAL to run at profitable operation• Putting in place adequate operational planning and financial control systems• Closely monitoring the operating and financial results against plans and budgets• Maintaining the operational performance of the company• Maintaining full accountability to the board and key share holders for all company operations• Representing the company to major customers and professional associations• Ensuring that CAPMAL is in full compliance with the rules and regulation in all action• Coordinating each individual department of the company to successfully implement policy, directive or adopt the strategy Show less

• Oversee, supervise, control and monitor the overall activities of the company • Design strategies and policies and implement the business plan to achieve business target• Ensure smooth business running in compliance with regulatory rules and regulations• Responsible for Risk, Legal, Compliance and other control activities • Engage in other operational activities • Ensure smooth business running in compliance with regulatory rules and regulations • Establish… Show more • Oversee, supervise, control and monitor the overall activities of the company • Design strategies and policies and implement the business plan to achieve business target• Ensure smooth business running in compliance with regulatory rules and regulations• Responsible for Risk, Legal, Compliance and other control activities • Engage in other operational activities • Ensure smooth business running in compliance with regulatory rules and regulations • Establish strong corporate governance within the organization• Correspondence with BSEC, DSE, CSE, CDBL, BFIU and RJSC Show less

Follow-up all daily activities of authorized representative & staffEnsure regularization the laps and irregularitiesResponse to regulatory related queriesBranch Office visit-Weekly/MonthlyCustomer complaints, communication handled timely and properlyMaintain Awareness of regulatory changes in a certain time frameTraining and monitoring employees in the performance of their duties.Correspondence with SEC, DSE, CSE, CDBL and RJSCForeign Clients correspondence on… Show more Follow-up all daily activities of authorized representative & staffEnsure regularization the laps and irregularitiesResponse to regulatory related queriesBranch Office visit-Weekly/MonthlyCustomer complaints, communication handled timely and properlyMaintain Awareness of regulatory changes in a certain time frameTraining and monitoring employees in the performance of their duties.Correspondence with SEC, DSE, CSE, CDBL and RJSCForeign Clients correspondence on business conducts rules and ethics.Prepare monthly activities report for regulator.Prepare & monitor Department Control Function Checklist (DCFCL).Conduct departmental audit as per company policy Show less

To identify unlawful trading activitiesWatch and analyze the trading in both the stock exchanges through on-line and off-line surveillance systemPrepare daily, weekly and monthly trade reports at the end of trading by pointing market condition and observationTo ensure proper compliance of securities related lawsConduct investigation and enquiry against involving parties regarding market manipulation, insider trading and other malpractices, if any.To ensure fair-trading and… Show more To identify unlawful trading activitiesWatch and analyze the trading in both the stock exchanges through on-line and off-line surveillance systemPrepare daily, weekly and monthly trade reports at the end of trading by pointing market condition and observationTo ensure proper compliance of securities related lawsConduct investigation and enquiry against involving parties regarding market manipulation, insider trading and other malpractices, if any.To ensure fair-trading and build-up confidence of investors in the securities market.Investigations Conducting in-depth investigations based on preliminary enquiries/analysis made into trading of the instruments. In case of irregularities observed necessary actions are initiated or investigation cases forwarded to BSEC Already conducted as many as fifteen investigations on different cases and submitted reports against those to the Commission. Show less