DEEPAK GULATI

• Guided companies on IPO readiness, corporate structuring, governance frameworks, and regulatory compliance.
• Served as lead secretarial and compliance advisor for startups and growth-stage enterprises.
• Assisted in drafting and reviewing DRHP chapters, risk factors, and governance disclosures.
• Coordinated responses to regulatory inquiries to ensure accurate representation of company positions.

• Appointed as Compliance Officer for Main Board IPO prospectus.
• Led comprehensive pre- and post-listing compliance under SEBI LODR Regulations from Day One.
• Managed interactions with SEBI and Stock Exchanges throughout IPO scrutiny and listing.
• Oversaw preparation of statutory certifications, annual reports, and governance disclosures.
• Coordinated with merchant bankers, auditors, RTAs, and legal counsels for IPO and fundraising transactions.

• Led compliance and secretarial functions for regulated fintech platform.
• Implemented SEBI regulations, Companies Act, and internal compliance frameworks.
• Advised management on regulatory strategy, audits, and inspection preparedness.
• Secured Online Bond Platform Provider (OBPP) License from SEBI.
• Facilitated seed funding round and Series A investments from multiple investors.
• Drafted and vetted agreements including Working Capital Facilities and Investment Agreements.
• Reviewed Employment, Dealer, Lease/Sub-Lease, Loan, Share Pledge, and Broker Agreements.

• Delivered corporate secretarial services for global clients across multiple jurisdictions.
• Led transition and knowledge transfer projects to India office.
• Standardized templates, SOPs, and governance processes across regions.
• Acted as SME and trainer for global and local teams.

• Managed corporate secretarial functions, compliance, and governance for high-growth fintech entity.
• Implemented automated tools for ESOP administration and insider trading compliance.
• Facilitated seamless information exchange between Independent Directors and management.
• Oversaw compliance for private equity fund arrangements from foreign investors totaling Rs 508 crores.
• Executed conversion of CCDs upon maturity and allotment of shares.
• Ensured FEMA compliance during fundraising activities for foreign investors.

Managed compliance with board, committee, and shareholder regulations for large corporate division.

• Ensured strict adherence to SEBI LODR and corporate governance standards.
• Prepared Annual Reports for both listed and unlisted companies.
• Conducted Board Meetings and General Meetings in accordance with applicable regulations.

• Managed SEBI, stock exchange, and corporate law compliances for securities business.

• Led compliance for NSE, BSE, and commodity exchange registered stock broker.
• Managed investor grievances, inspections, and regulatory filings.
• (Sindhu Group)

• Ensured compliance with all clauses of LODR, particularly shareholding pattern and corporate governance.
• Prepared and filed necessary documents for adherence to corporate laws.
• Executed registered office shift between states in accordance with 2013 Act.
• Submitted required returns and forms to ROC under Companies Act, 2013.
• Filed annual return in XBRL format as mandated by regulations.