Nikhil Iyer

Manager - Listing @Nse India

Mumbai, IN

Monitoring quarterly,half-yearly and yearly Compliance for Listed Companies as per SEBI(LODR) Regulations with focus on Financial results, related party transactions, Corporate Governance statement of deviation, Annual reports and Business responsibility and Sustainability Report• Checking documents for consistency to ensure adherence to LODR Regulations.• Managing adequacy and accuracy checks of exchange filings within prescribed timelines• Seeking Clarifications from Listed Companies whenever Discrepancies is observed• Levying fines for non-compliant companies as per SEBI SOP Circular• Issuing advisory letters/ Warning letters to Companies for any non-Compliances Observed• Coordinating with BSE and MSEI for fine confirmations and various joint SEBI assignments• Making recommendations to SEBI for change initiatives to be undertaken within SEBI Regulations• Investigating Complaints received from SEBI and Investors and filing Exception reports to SEBI• Working on multiple data requirements as sought by SEBI• Coordinating and maintain relationship with SEBI officials and Compliance officers of listed companies• Working Closely with senior management on SEBI assignments within with minimum inputs from seniors.• Managing a team of 5 members and supervising their assignments• Coordinating and presenting cases before the internal Committee of NSE and providing Exchange recommendations to waiver committee to either grant waiver of fines or levying fines• Conducting seminar for Newly Listed Companies to make them aware about post listing Compliances• Working with multiple regulatory authorities namely SEBI, Ministry of Corporate Affairs, National Financial Regulatory Authority, Central Bureau of Investigation, Economic Offence Wing.for matters involving listed companies