Company Secretary

Regulatory Compliance

a) Monitor Regulatory Changes: Stay abreast of changes in financial regulations, ensuring that the NBFC remains compliant with all applicable laws.

b) Regulatory Reporting: Oversee the timely and accurate preparation and submission of regulatory reports to relevant authorities.

c) Policy Development: Develop, update, and implement compliance policies and procedures in line with changing regulatory requirements..

Risk Management

a) Risk Assessment: Conduct regular risk assessments to identify, evaluate, and mitigate compliance risks associated with NBFC operations.

b) Compliance Monitoring: Establish and maintain a robust compliance monitoring program to track adherence to policies and regulatory requirements

Internal Controls

a) Control Framework: Implement and enhance internal control frameworks to ensure the effectiveness of compliance measures

b) Audit Coordination: Coordinate with internal and external auditors to facilitate compliance audits and reviews.

External Relationship

a) Regulatory Engagement: Manage relationships with regulatory bodies and serve as the primary point of contact for regulatory inquiries.

Regulatory Compliance

a) Monitor Regulatory Changes: Stay abreast of changes in financial regulations, ensuring that the NBFC remains compliant with all applicable laws.

b) Regulatory Reporting: Oversee the timely and accurate preparation and submission of regulatory reports to relevant authorities.

c) Policy Development: Develop, update, and implement compliance policies and procedures in line with changing regulatory requirements..

Risk Management

a) Risk Assessment: Conduct regular risk assessments to identify, evaluate, and mitigate compliance risks associated with NBFC operations.

b) Compliance Monitoring: Establish and maintain a robust compliance monitoring program to track adherence to policies and regulatory requirements

Internal Controls

a) Control Framework: Implement and enhance internal control frameworks to ensure the effectiveness of compliance measures

b) Audit Coordination: Coordinate with internal and external auditors to facilitate compliance audits and reviews.

External Relationship

a) Regulatory Engagement: Manage relationships with regulatory bodies and serve as the primary point of contact for regulatory inquiries.

b) Industry Associations: Participate in relevant industry associations and forums to stay informed about best practices and industry trends.

Technology and Automation & Continuous Improvement

a) Compliance Technology: - Implement and leverage technology solutions to streamline compliance processes and enhance monitoring capabilities

b) Establish a mechanism for receiving feedback on the effectiveness of compliance measures and use it to drive continuous improvement.

c) Benchmark the compliance practices against industry standards and implement improvements accordingly

Company Secretary Responsibility

a) Corporate Governance

b) Statutory Compliance

c) Board & Committee Meeting

d) Secretarial Records and Documentation

e) Shareholder Relations

f) Disclosure and Transparency

g) Liaison with Regulatory Authorities