Head - Legal - BFSI

1. LEGAL FUNCTION

1.1. Drafting/Vetting related

1.1.1. Drafting of Agreements/Undertakings/Indemnity/Declarations.

1.1.2. Vetting of Agreements/Undertakings/Indemnity/Declarations received from counter-parties

1.2. SEBI related

1.2.1. Directives/Notices from SEBI with legal implications

1.2.2. Client Complaints (Broking/IPO/PMS/Investment Banking)

1.3. Stock Exchange related (NSE, BSE & MCX)

1.3.1. Notice to clients (for recovery of dues)

1.3.2. Client Complaints (Broking/IPO/PMS)

1.3.3. Investor Grievance Cell proceedings

1.3.4. Arbitration Proceedings - Claim filed by Broker/client

1.4. Court Related

1.4.1. Appeals filed by Broker/Client

1.4.2. Filing Execution Petition

1.4.3. Out of court settlements

1.5. RBI related

1.5.1. Directives/Notices from RBI with legal implications

1.5.2. Client complaints

1.6. Police, EOW, Income Tax Dept, etc related

1.6.1. Appearance/statement

1.6.2. Data Submission

Responsibilities of Head - Legal

1. Due Reporting to Group Head in Legal matters for Group Companies

2. Due concurrence from reporting Senior(s) before actions

3. Overall monitoring accountability for Legal Functions of the Group Companies

4. Identify potential hazards in legal matters and reporting to Group Head along with potential solutions/suggested actions

5. Updated understanding of rules, regulations, byelaws, circulars, guidelines, orders, adjudications, consent terms issued by Regulators including SEBI, Stock Exchanges, Depositories, RBI, etc, judgements by Exchange/Other Arbitrators and/or Courts which is directly or indirectly related to the roles performed.

6. Review of client complaints, hearings scheduled at Exchange Investor Grievance Cell/ Arbitration Forum, hearings scheduled at courts in suits filed by Company/Counter-parties and initiate follow- up actions

7. Appearance in IGRC/Arbitration hearing

8. Appearing in Police Station/EOW/other Statutory Authority for personal deposition

9. Assisting and providing logistics for the Court representatives in Execution of Arbitration Awards & Court decrees

10. Liaison with Advocates, counsels for submissions, statements, depositions in Courts

11. Assignment of functions/roles/responsibilities/accountability to sub-ordinates

12. Arrange logistics to Impart and/or arrange due training for Sub-ordinates/ other employees

13. Any other matter assigned by Senior(s)