Pravin Bathe

About Pravin Bathe

Experienced Compliance professional in Capital Markets with work experience of more than 21 years in the financial services industry on retail as well as Institutional front. Worked with Regulator, Domestic as well as with MNC firm of high repute. Skilled and has deep understanding of Indian Capital Market activites related to Stock Exchange, Depository, Investment Banking, Stock Broking (Institutional, Fintech, Retail), Custody, Depository Participants, Commodity Broking, PMS, Research Analyst, Investment Advisory, AIF, Mutual Fund etc. Also has hands on work experience of Compliance, AML, Trade Surveillance, Internal and Compliance Assurance Audits, Insider Trading - Policy, Control Function and Employee Trading, Physical Commodity Market (Mandi), Insurance Broking, etc. Also has strong Audit and Analytical skills. Professional with B.Sc.(Stats), MBA (Finance), MBA (Marketing) and a Ph. D. in Banking & Finance.

Experience

1. Chief Legal and Compliance

   Angel One

   Mar 2022 — Present · Mumbai, IN

Education

• Sinhgad Institute of Management, Pune

  MBA (Marketing), Management

  2002 — 2004

• Sainik School, Satara

  Upto 10+2

  1988 — 1995

• Sinhgad Institute of Management, Pune

  MBA (Finance), Management

  1999 — 2001

• Savitribai Phule Pune University

  Ph. D., Banking & Finance

  2006 — 2013

• Savitribai Phule Pune University

  M.A. (Economics), Economics

  2004 — 2006

• Fergusson College

  B.Sc. (Statistics), Statistics

  1995 — 1998

• University of Mumbai

  Bachelor of Laws - LLB, Law

  2018 — 2022