- Drafting and maintaining the secretarial registers and records including agenda, minutes of the board as well as committee meeting.
- Drafting and updating various departmental code e.g. Advertisement code/advising processes for ensuring the implementation
- Liaison with SEBI and AMFI
- Assistance in the Compliance functions of the company
- Checking the validity of legal documentation with regards to the corporate clients
- Checking the legal validity of security created in favor of the companies in case of secured debentures (in the case of secured debt investments)
- To review the services of Registrars and custodians on the basis of reports submitted by them and audit by random checking
- To perform Secretarial audit at regular interval.
- To carry on orientation programmers for various department.
- To co-ordinate with distributors for proper legal compliance
- To carry out inspection and audit of distributors and its various collection centers.
- Drafting, updating and vetting the offer documents / Addendum / Compliance Manuals in view of the risk management guidelines
- Preparing common offer documents/ SIDs
- Checking the AMFI certification of all the participants of MFs
- Confirming that all the reports are based on facts and are in compliance with the regulations
- Periodic due diligence and compliance audit for Mutual Funds
- To help to set up Mutual Fund including documentation and correspondence with SEBI
- Preparing KYC Forms for Compliance purpose as per SEBI and AMFI Regulations
- Verification of clients (KYC checking)
- Preparing the Code of Conduct for Employees and Directors of Mutual Funds
- Other Functions like Marketing / Investor Services/ Compliance documentation