Prove that an inspection issue was actually fixed

Tie each exchange, depository or SEBI observation to source records, responsible owner, corrected process and a tested sample. Compliance submits an authorised response only after evidence demonstrates the change at the affected registered entity.

A proposed change affects an approved product, process, contract or operating plan.

People in the process

CComplianceProcess Owner
OOperationsParticipating Team
TTechnologyParticipating Team
LLegalParticipating Team

Records it works with

Change request and current approved baseline
Affected agreements, policies and operating records
Technical, commercial and regulatory assessments

The process is a starting point.The standards are yours.

Configure for the SEBI registration, exchange membership and business activity. Broker, fund, portfolio-manager and investment-adviser requirements are separate.

Keep the work connected.

Compliance & Investor Service

Close a return for the registration actually held

Determine whether a return belongs to the broker, DP, AMC, AIF manager or adviser, then collect the correct source schedules, reviewer sign-off and portal acknowledgement. Compliance investigates conflicting figures instead of recycling one group-wide template.

Compliance & Investor Service

Resolve an investor grievance from transaction evidence

Join the investor’s allegation with mandate, instructions, contract notes or unit records, communications and earlier remedy attempts. The registered entity’s grievance officer approves an accurate response and coordinates correction in the source system when warranted.

OCL

Compliance & Investor Service

Translate a SEBI or exchange change by registration

Read the circular’s addressees, effective scope and later amendments, then map affected client communications, records, contracts and controls. Compliance obtains the responsible specialist’s interpretation and checks implementation evidence before closing the change.

OLT

Explore all Capital markets processes.

Order for the work. Room for the people.