Summary
Overview
Work History
Education
Certification
INTERNSHIPS
References
Timeline
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Guna Roobene Sivakumar

Chennai

Summary

Recent law graduate with a B.Com degree and specialized certifications in Mergers & Acquisitions, Fintech & Banking Law, and Technology Law. Combines legal and financial expertise gained through hands-on experience in top law firms. Dual certification in Investment Banking and Financial Analytics equips me to support legal teams in navigating complex financial regulations and compliance at leading institutions.

Overview

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1
Certification

Work History

Jr Associate

ARK Enterprises
Chennai
05.2024 - Current

At ARK Enterprises, a dynamic financial firm specializing in small and medium loans, as well as chit fund operations, I have been integral to the legal team, focusing on securities regulations and compliance. My responsibilities include:
- Researched SEBI regulations, including SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, focusing on disclosure requirements and governance standards for the firm's financial operations.

- Developed compliance checklists for SEBI's corporate governance requirements, including board composition and audit committee regulations.
- Created risk assessment frameworks to identify legal risks associated with loan issuance and chit-fund operations, including risk matrices and regulatory compliance checklists.
- Conducted internal audits of loan disbursement procedures, ensuring adherence to RBI regulations and verifying documentation accuracy.
- Prepared and reviewed regulatory compliance reports, including quarterly financial disclosures and annual reports, ensuring alignment with statutory requirements.
- Drafted and reviewed corporate filings such as Form MGT-7 (Annual Return) and Form AOC-4 (Financial Statements), ensuring accuracy and compliance with the Companies Act, 2013.
- Drafted loan agreements, chit-fund contracts, and service agreements, including terms on repayment schedules, interest rates, and default clauses, in compliance with the Indian Contract Act of 1872.
- Provided legal advice on compliance matters related to securities and financial reporting, interpreting regulations, and advising on necessary adjustments.

Education

LL.B - Law

VISTAS School of Law
Chennai, India
05-2024

Bachelors of Commerce [B.Com] -

Sathyabama Institute of Science & Technology.
Chennai, India.
05-2020

SSLC & HSC - Commerce, Accountancy, Economics & Business Maths

Christ The King Matric Higher Secondary School
Medavakkam, Chennai
05-2017

Certification

  • Diploma in Investment Banking and Financial Analytics - Boston Institute of Analytics (Ongoing).
    Comprehensive dual certification program integrating investment banking strategies with financial analytics. Focuses on financial modeling, equity research, mergers & acquisitions, private equity, and data visualization, enhancing my ability to combine legal insights with financial acumen.
  • Fintech & Banking Law - Duke University School of Law, USA (2024).
    Focused on regulatory frameworks for fintech and banking, including blockchain, cryptocurrency, and electronic payment systems. Provided practical experience in compliance with AML and KYC regulations and analyzing financial innovations.
  • Arbitration & Dispute Resolution in Sports - Maharashtra National Law University (2024).
    Specialized training in sports arbitration, including drafting arbitration clauses, managing disputes, and handling sports contracts and regulatory compliance.
  • Mastering Due Diligence - Simulegum with Cyril Amarchand Mangaldas (2024).
    Emphasis on legal risk identification, regulatory compliance, and due diligence report preparation for mergers and acquisitions.
  • Merger and Acquisition: Analysis of Private Equity - ILW Institute (2024).
    Comprehensive course on M&A processes, including due diligence, negotiation, drafting agreements, and post-merger integration.
  • Technology Law - Law Learnizo with Deloitte, Capgemini & Amity School of Law, Noida (2024).
    Coverage of data privacy, cybersecurity, fintech regulations, and drafting technology -related contracts.
  • Intellectual Property Law - World Intellectual Property Organization (WIPO) (2024).
    International IP law overview with a focus on treaties, global IP strategies, and protecting IP rights.
  • Arbitration - IndusLaw & Dr. Ram Manohar Lohia National Law University, Lucknow with Simulegum (2024).
    Training in domestic and international arbitration, including agreement drafting, proceedings, and award enforcement.
  • Competition Law - Lawctopus Law School (2024).
    Understanding of anti-competitive practices, merger control, and drafting legal opinions on competition issues.
  • Certification Course on Construction Arbitration - Simulegum with SEAL in RMNLU (2024).
    Specialized in construction arbitration, including resolving disputes over construction contracts, project delays, and cost overruns, and managing multi-party arbitrations.
  • Law Firm Operations and Drafting - LawLearnizo, instructed by Mr. Vibhav Seth & Ms. Anam Ahmad (2024).
    Insights into law firm operations, client management, billing practices, and drafting legal documents such as pleadings and contracts.
  • Certified Researcher - Manupatra (2023).
    Enhanced legal research skills with expertise in statutory interpretation, case law analysis, and legal document drafting.
  • Cyber Crime & Law - Cyber University, Delhi, instructed by Prof. Dr. Pavan Duggal (2023).
    Skills in cybercrime investigation, digital forensics, data breach management, and cybersecurity policy development.
  • Intellectual Property in the Emergence of AI - Amity Law School, Noida with Oxford University (2023).
    Training on AI technologies, IP protections for AI content, and IP portfolio management in tech industries.

INTERNSHIPS

  • Adv. Mohammed Abdul Azzez, Thousand Lights, Chennai. - February 2024 - April 2024.
    Engaged with civil disputes and arbitration, preparing case summaries, drafting notices, petitions, affidavits, and settlement agreements. Conducted extensive legal research on contract disputes, property law, and torts. Assisted in client meetings, providing updates and legal strategy insights.
  • Surana and Surana International Attorneys, Mylapore, Chennai.
    - August 2023 - February 2024.
    Managed arbitration cases, including drafting pleadings, claim statements, and arbitral submissions. Conducted legal research on arbitration laws and international rules (UNCITRAL, ICC). Prepared witness statements and coordinated client and arbitrator communications.
  • Ashok Chaitanya & Associates, Delhi.
    - July 2023 - August 2023.
    Formulated litigation strategies for Supreme Court cases, drafting legal briefs and submissions. Conducted research on constitutional law, human rights, and criminal jurisprudence. Contributed to writ petitions and special leave petitions.
  • Police Station, Pallikaranai, Chennai.
    - June 2023.
    Assisted in criminal case investigations, evidence collection, and analysis. Drafted FIRs, charge sheets, and legal reports. Supported legal research on criminal statutes and interpreted provisions for ongoing investigations.
  • Vishwanathan Attorneys, Kodambakkam, Chennai.
    - December 2022.
    Focused on corporate governance and compliance, drafting board resolutions, shareholder agreements, and due diligence reports. Analyzed case files to identify compliance issues and legal risks, providing support in corporate transactions.
  • JusLegal Law Firm, Madras High Court, Chennai.
    - June 2022.
    Handled diverse legal issues including constitutional and civil litigation. Drafted writ petitions, affidavits, and commercial contracts. Managed case files and conducted legal research on constitutional law and civil procedure.
  • ARK Enterprises, Chennai.
    - March 2022 - May 2022.
    Worked on corporate legal matters, including drafting and reviewing contracts, compliance documents, and legal briefs. Assisted in corporate governance issues and regulatory compliance, providing support in legal research and document preparation for business transactions.
  • DC Legal Associates, RA Puram, Chennai.
    - January 2022 - February 2022.
    Handled corporate litigation cases, focusing on contractual disputes and regulatory compliance. Drafted writ petitions, responses, and legal briefs related to corporate governance issues. Provided strategic legal advice and conducted research on corporate laws and regulations.

References

References available upon request.

Timeline

Jr Associate

ARK Enterprises
05.2024 - Current

LL.B - Law

VISTAS School of Law

Bachelors of Commerce [B.Com] -

Sathyabama Institute of Science & Technology.

SSLC & HSC - Commerce, Accountancy, Economics & Business Maths

Christ The King Matric Higher Secondary School
Guna Roobene Sivakumar