Plutus Wealth Management - Head - Legal

Head - Legal

- Ensure compliance with SCRR, FEMA, SEBI, Companies Act and other applicable laws, regulations, and guidelines governing stock broking and investment activities.

- Review of periodic legal compliances of trading membership (like stock exchange compliances, SEBI compliances).

- Monitor changes in legislation and regulatory requirements, advising the organization on necessary adjustments.

- Interact with regulatory authorities and maintain strong relationships to stay abreast of regulatory developments.

- Prepare and submit regulatory filings and reports as required by relevant authorities.

- Responsible for handling notices, summons, issued by various regulators like National stock exchange, SEBI with respect to matters pertaining to investment in listed entities.

- Liaising with senior counsels to appropriately prepare for litigations, response to notices, etc.

- Summarizing the key findings for effective discussion with management and providing suggestions in matter of compliances to the leadership team.

- Drafting and reviewing transaction documents like, term sheets, shareholders' agreement, share subscription agreements, MOUs, JV agreements, employment agreements, etc.

- Carry out legal due diligence of target listed / unlisted companies and liaise with external legal firms in relation to transaction documents.

- Carrying out periodic review of Investee companies' legal compliances and highlighting key/sensitive matters.