A Seminar on “Compliance" was organized by ANMI-WR on 13th of July 2018 in Mumbai for our Members. The session was mainly focused on guiding the members on the “Recent Important Compliance Issues” and “Best Practices in Compliance”
Mr Ankit Ajmera, ANMI-WR Chairman welcomed the guests. Mr Rajesh Baheti, ANMI President welcomed the gathering and felicitated our Speakers.
Mr CA Ashish A. Shah- Partner, Shah Kapadia & Associates, in his Key Note address updated members on recent Compliance matters such as Enhanced Supervision, Margin collection and reporting and Settlement of clients’ funds and securities He also highlighted the major areas of non-compliance by members as observed by the exchange.
Mr SR Sundara Rajan- Executive Director & Head Compliance- Julius Baer India, in his presentation on Best Practices in Compliance explained the general principles to be carried out. He also briefed members about the practices that should be avoided.
The session was attended and appreciated by Members. The queries raised by the participants were well responded to by the speake, Mr CA Ashish A. Shah and Mr SR Sundara Rajan in the open session.
The program concluded with vote of thanks. Event received an overwhelming response with more than 170 people attending the same. The program was followed by dinner.