AddressCompliance:
A. SEBI reporting for AIFs (alternative investment funds) and VCFs (venture capital funds)
B. All applicable compliances under AIF Regulations and PPM of AIFs/VCFs
C. SEBI compliances for Portfolio Management Services (PMS)
D. RBI Compliances such as: InVi reporting, FC-TRS reporting and FLA Reporting
E. Assist in various audits: PPM Audit, Internal Audit and Statutory Audit
F. Obtain other necessary regulatory registrations such as SCORES, CKYC, KRA, LEI, FATCA, FLA, RBI - FIRMS Portal for InVi and FC-TRS, etc.
G. Draft/ Prepare/ Review/ Annual Trustee Compliance Test Report
H. Assist in preparation/drafting of applications/letters/communications with SEBI, RBI, trustee, investors or other applicable stakeholders for AIFs/VCFs
I. Assist in winding up and surrender of VCF/AIF registrations
J. Assistance on investor due diligence: AML/KYC checks, world check screening, FATCA compliances etc.
K. Investment process: Assist in reviewing condition precedents documents, condition
subsequent documents related to investments made by AIFs
L. Updating the investment compliance monitoring portal - PROMISE
M. Assisting in all Compliance related tasks with investment and exit process as per internal protocol
N. Assist in Liaising/Communicating with SEBI, RBI, trustee, lawyer, Investment Team, Fund Administration Team, portfolio companies, investors etc.
O. Liaising with central Secretarial team for requisite board resolution or other required documents
P. Assist in Obtaining/updating DSC, DIN for authorised signatories, nominee directors
Q. To assist nominee directors in applicable Companies Act compliances such as DIR-3 KYC, MBP-1, DIR-8, DIR-2, etc.
R. Keep track on regulatory update for AIFs / VCFs / PMS businesses, timely update to management and ensure implementation of the same
Legal:
A. Assist in reviewing and preparation of deed of adherence for transfer/transmission of units of AIFs
B. Assist in drafting or review of letters, communication with SEBI, RBI, Trustee, investors,
C. Assist in drafting review of communications/notices/reminder to investee companies/portfolio companies of AIFs
D. Assist in drafting or reviewing various policies, procedures, and processes applicable to Fund Manager or AIFs/VCFs from time to time, including but not limited to PMLA Policy, Conflict of Interest Policy, Risk Management Policy, Outsourcing Policy, Stewardship Policy, etc.
