Ankita Hawelikar

As a part of a team for undertaking the company, file for an IPO following are my roles and responsibilities :

Measuring KPI's :

• Discussed and formulated KPI's with Auditors, and getting it peer reviewed by Independent CA's used in MD&A.

Certificate Deliverables and Discolsures :

• Review and finalize KPI procedures in Financial and Operational processes.
• Reviewing and negotiating certificates like Consent Letter, Certificate on related party transactions, Peer review certificate issued by the ‘peer review board’ of the ICAI, Certificate on group companies, Certificate on financial indebtedness and many others.

Drafting of Red Herring Prospectus :

• Liaison with Merchant Bankers, Legal Counsel, Company Secretary - VP and other team members to define and carry out documents pertaining to Non - Business sections.
• Actively worked across different business teams to prepare full history of Capital raise and transfers.
• Formulated a focused business plan for the next 3 to 5 years, Identifying clearly the expansion opportunities demonstrating the company’s growth potential and future plan, Financials projected over the next few years
• Liaison with cross teams to accurately provide preliminary insights into the company’s fundamentals, operations, and prospects.
• Validated the company's compliance with disclosure requirements mandated by regulatory authorities as a part of DRHP checklists.
• Review of DRHP internally to ensure it complies with all the regulatory requirements, including disclosure norms and investor protection guidelines, IPO Objective of the Company Detailed overview of the business operations of the company, The company’s financial statements including balance sheet, profit and loss statement, and cash flow, The stock holding information, The risks behind investing in the company.
• Actively worked and documented other important sections of DRHP like, ESOP in compliance with SEBI Regulations, Dividend Policy, Details of the offer, Capital Structure, Legal Information, Basis of the offer price, Operations, Pre-IPO share split / bonus to arrive, etc.
• Finalizing the DRHP with a team of ICA's, Legal Counsels, Merchant Bankers, Stake Holders.
• Formation of audit, compensation & investor grievance committees

Appointment of Merchant Bankers & other Intermediaries :

• Successfully conducted Board meeting to review, formulate eligibility, finalize and to define code of conduct for the BRLM's.
• Optimized the code of conduct for BRLM's as per company's interest.
• Conducted meeting to safeguard Company's interest in appointment of other intermediaries like ICA's, Legal Counsel, Syndicate Members, Underwriters, Registrar, Depositories & Stock Exchange etc

Compilation of Information :

• Compilation of all the necessary and approved documents like Engagement Letter, Letter of Intent, Underwriting Agreement, Registration Statement, Red Herring Document, etc

Setting up house in order for Legal Due Diligence :

• Performed thorough audits of financial statements and legal compliance with respect to various Acts/Regulations and Disclosures such as The Companies Act, 2013, The SCRA, 1956, The SEBI Act, 1992(ICDR, LODR, SBER, PIT), The Depositories Act 1996, The FEMA 1999- NDI, ODI.
• Actively involved in assessing the the fitness of organization for LDD w.r.t Government Regulations & Filing, Financial Indebtedness, Movable & Immovable properties, IPR, Litigation, D&O Insurance of assets
• As a competitive Company Secretary, I ensured compliances of all laws, policies and code are adhered and Board is fully aware of its responsibility.

Preparatory health check prior to Public Issue :

• Acting as a confidential sounding board to the Chairman, Partners & other Stakeholders and Understanding the Business Plan and its Financial Stability, also but not limited to Corporate Matters, Capital Structure, Object of the Issue, Risk Factors, Management Discussion & Analysis, Promoter & Promoter Group and Subsidiaries.
• Eligibility- Reg 6 (1) or 6(2) of ICDR 2018, MoA & AoA (Removal of Restrictive Clauses or Special Rights, if any), Conversion into a Public Company, Review of Auditor Qualifications and Accounting Policies.
• Review of all important litigations, Approvals & Licenses - Up to date, Compounding of any violations/ non-compliances, Review of Profile of all Directors & KMPs- Not disqualified/ debarred/ under caution list, Identification of Promoters/ Promoter Group – CA, ICDR & LODR, Identification of Group Companies / Material Subsidiaries, Identifying Significant Beneficial Owner (SBO), Exemption application ( No identifiable promoter, relatives of promoters)

• Preparation of documents for Board Meeting, Annual General Meeting, Committee Meeting and maintaining all statutory Records and Registers as required under the provisions of Companies Act.
• Filing of various event based and Annual returns of Company and LLPs under Companies Act and LLP Act.
• Daily data entries and maintaining accurate and complete financial records.
• Managing Accounting transactions, handling Monthly, Quarterly and Annual closings and Reconciling Accounts Receivables and Payables.
• Preparation of Financial Reports, Financial Statements, Invoices under GST and Bank Reconciliation Statements.
• Assisting in Financial Planning & Analysis, budget forecasting, Balance sheet reconciliation.
• Assisting in computation of TDS, Advance Tax and Income Tax and preparation and filing of tax returns besides evaluating audit financial transactions and documents.
• Preparation and filing of monthly returns GST Returns and GST Payments.
• Providing financial advice by studying operational issues, applying financial principles and practices and develop recommendations.

• Ensuring correct and timely compliances and providing corporate advisory and consultancy to Foreign Subsidiary Company, Indian Private Company, LLP, Liaison Office and Branch Office as applicable under Companies Act, 2013, LLP and reporting under FEMA Regulations.
• Liaising with Registrar of Companies Office, Regional Director and Authorised dealer banks.
• Filing of Overseas Direct Investment Application with Reserve Bank of India, Annual Return of Financial Liabilities & Assets, Compounding for delay in reporting of Overseas Direct Investment with Reserve Bank of India.
• Application for Compounding of offence with Registrar of Company and Reserve Bank of India, Assisted in completing Due Diligence and Secretarial Audit of the Company.
• Conducting Board and General meetings through video conferencing.
• Analysis of Significant Beneficial Owner and Deposit Compliances under Companies Act.
• Recording changes in Memorandum and Articles of Association due to change in Capital, Object, Name, Registered Office of the Company, Creation & Satisfaction of Charge.
• Issue of Capital & Stamp Duty payment, Transfer of Shares and Issue of Duplicate Share Certificate.
• Filing of various event based and Annual returns with Registrar of Company, XBRL filing reporting with Reserve Bank of India.

15 Months Management Training {Articleship} period