Meenakshi specialises in assisting firms with their SEBI authorisation as well as the creation of compliance policies and procedures to comply with SEBI regulations.

Meenakshi brings to CCL over 18 years of experience in the area of Investment Banking, encompassing Equity Capital Markets, M&A, Compliance and Risk Management.

She has a thorough understanding of the regulatory requirements stipulated by the Securities and Exchange Board of India (SEBI) and other securities regulations governing the investment banking space. Meenakshi brings in substantive experience in developing compliance policies, procedures and manuals enabling the development of an effective compliance framework.

Before joining CCL, Meenakshi worked for SBI Capital Markets Limited (SBICAP), which is the investment banking arm of the State Bank of India, for 18 years. During her tenure in SBICAP, she has worked as part of the Capital Markets Group handling IPO advisory and other capital market-related transactions. She led the M&A & Advisory team, dealing with various transactions including sell-offs, acquisitions, joint venture advisory, etc. Subsequently, she moved to the Compliance and Risk Management Department within SBICAP and was the Chief Risk Officer of the Company.

Meenakshi holds a Bachelors’ Degree in Commerce and is a Chartered Accountant. She was 1st in India among female students in the “Auditing” paper and ranked 33rd (All India) in the C.A. Final Examination.

Recent work includes:

  • Initial advisory to a Foreign Investment Banking entity on local compliance requirements.
  • Review of compliance policies and manuals, sensitising operating groups on the expectations of the regulator, preparation for SEBI inspections, conducting compliance reviews of specific transactions and strengthening the risk management framework for a local investment bank.
  • Obtaining SEBI authorisation for Investment Advisory Firms and establishing their compliance policies.
  • Advising a Private Equity Fund, an overseas Fund and one of their investee companies on their AML/CTF, ABC policies and procedures, followed by testing compliance of the revised procedures.
  • Obtaining SEBI authorisation for a Research Entity and establishing their compliance policies.
  • Obtaining SEBI authorisation for a Merchant Banker and advising them on policy documents on Personal Trading, AML & CTF, Prohibition of Insider Trading and their Compliance Manual.
  • Advising a Foreign Portfolio Investor on the various regulatory obligations under the SEBI and RBI Regulations.
  • Assisting in the preparation of compliance policies for Non-Banking Financial Companies (NBFCs)
Call: +91 9820 314 423