Investmentor Securities Limited

Ashram Road, Ahmedabad

Participating in the planning, executing and reporting of compliance assurance reviews an compliance and regulatory issue validation activities for a component of policy line & functionManaging Inspections carried out by Exchanges, Depositories and SEBIManaging internal audits of Depositories and ExchangesSubmission of Internal & System Audit Report & assisting in conducting the Audit (NSE, BSE& NSDL) Interpreting and sending Exchange & SEBI circulars, Implementation of the circularsSeeking regulatory approvals for Advertisements and any other changes as proposed by Management etcKYC Compliance and monitoring of compliance functionsPreparation, submission, and uploading Annual return & Compliance to the exchanges.Timely updating Policies and procedures in line with Exchange guidelinesEvaluating new regulatory guidelines and implementationSubmission of Enhanced supervision data and other Exchange reportings on a timely manner As follows:Submission of Bank Account wise Balances for all bank accounts on weekly basisSubmission of details for Cash and Cash Equivalents on weekly basisSubmission of Holding Statement on weekly basis Submission of the data for monitoring of Clients Funds lying with Member on weekly basis Submission of 1% holding to the Exchange Submission of Internal Risk AssessmentSubmission of Yearly & Half Yearly Net-worth CertificateSubmission of Net-worth Certificate for Margin Trading Submission of Risk Based Supervision (RBS) data Submission of Quarterly Compliance Certificate Submission of Annual Accounts to the Exchanges Submission of Cyber Security & Cyber Resilience Audit and assisting in conducting the Audit