Anup Shrivastav

About Anup Shrivastav

I am a qualified Company Secretary and B.Com (H) graduate with hands-on experience in legal, secretarial, and regulatory compliance functions within the financial services sector. Currently working as a CS Management Trainee at Tata Asset Management (Tata Mutual Fund), I have developed strong expertise in managing corporate governance and compliance matters while supporting complex legal and regulatory processes. My experience includes independently handling various secretarial and compliance activities, such as preparation of board and committee meeting documents, maintenance of statutory registers, regulatory filings under the Companies Act, and coordination of secretarial audits. I have also been actively involved in policy drafting, CSR compliance, ISIN generation, rights issue documentation, and board evaluation processes. On the legal side, I have worked on vetting, negotiation, and execution of multiple commercial agreements, including distribution agreements, technology partnerships, NDAs, and investment management agreements. I have also assisted in legal advisory, regulatory due diligence, litigation support, handling SEBI SCORES investor complaints, cyber complaints, and drafting legal notices. With additional certifications in Financial Due Diligence and Advanced Excel, I bring a balanced combination of legal knowledge, governance expertise, and analytical capability, enabling me to contribute effectively to organizations requiring strong compliance and regulatory oversight.

Experience

1. Company Secretary Internship

   Tata Mutual Fund

   Jun 2023 — Present · Mumbai, IN

   Secretarial & Legal Department

Education

• CFA INSTITUTE

  Finance

• Prahladrai Dalmia Lions College of Commerce & Economics

  Bachelor of Commerce - BCom

• St Mary S High School

  High school

• The Institute of Company Secretaries of India

  Company Secretary , Banking, Corporate, Finance, and Securities Law