WORK EXPERIENCE & EXPERTISE:He has worked with Securities and Exchange Board of India (SEBI) for around 10 years and has experience in Capital Market Practice such as below: Enforcement actions: Experienced in respect of Section 11 proceedings, enquiry, prosecution, adjudication in respect to SAST Regulations, PFUTP Regulations, etc.; Inquiries in respect to deemed public issues; Inquiries on failure to register as per requirement of securities law; Settlement of enforcement Actions. Litigations: Issues pertaining to MPS as per SCRR, Delisting Regulations, Listing permission, Litigations in connection with policies formulated by SEBI such as fast track rights issue, rights issue and offer under SAST Regulations, non-compete clause, Takeover Regulations, Competitive bids under Takeover Regulations, Hostile Takeover Case, Premature Redemption of Deep Discount Bonds, etc. Regulatory inspection of intermediaries: Inspection of Depository Participant, Rights Transfer Agent, Stock Broker, Sub-Broker. Worked on Procedures and practices adopted by intermediaries as required under various laws. Complaint resolution on SCORES (SEBI Complaint Redressal System): Disputes arising while trading through stock brokers such as unauthorized transactions in client accounts/ misuse of DIS Slips etc., failure to transmit securities under succession claims as per SEBI Circulars, failure to distribute dividends by issuer companies; issue processes such as non-allotment of Shares/ Failure to Refund, Attended various meetings on behalf of SEBI with other Regulators/State Government/Police Officials such as SLCC. He represented SEBI and was a speaker in several seminars/ Investor awareness initiatives of SEBI in various parts of Karnataka. He has practiced before Hon’ble High Court of Karnataka and Civil Courts.
PRACTICE AREAS & SECTORS:
Capital Market Law, Corporate & Commercial , Litigation
AFFILIATION & MEMBERSHIP:
- Bar Council of Karnataka
EDUCATION & PROFESSIONAL QUALIFICATION:
- LL.M (Business Laws) - National Law School of India University