Rakesh Padave

· Announcement of Corporate Events: Scanning of the circular issued by exchanges viz BSE/ NSE and incorporating the corporate action event in internal system.

Intimation to the clients: Intimating the equity & debt monetary and non-monetary events to FPI clients via swift. · Monitoring of Receivables: To ensure that the Forecast report is monitored to keep a track of monetary and non-monetary events and a subsequent follow up is done for receivables in a timely manner.

Front Desk Queries: Addressing client queries relating to forthcoming / past events, follow up status for monetary and non-monetary events with companies/ arrangers.

Bank Account Reconciliation: Checking of Receipts vis-a-vis receivables in customers’ bank account. Coordinating for UTR Number, Escalation in case of non-receipt of funds. · Exception Monitoring and Follow up: Follow up for all Non receipts, short receipts, defaults in payments, TDS Certificates on regular basis, reporting to clients and escalation to superiors. ·

E-voting/Proxy Processing: Registration of client on CDSL, NSDL, KARVY, Linkin time & Big share e-voting platform and vote as per the client instruction received. ·

Primary Market: Preparing Market Snapshot in case of any Forthcoming IPO announced on exchanges and intimate to all the Clients as per request the client regarding the same.
Primary Market Debt, Equity IPOs.& QIP- Filling up & Sending Application Forms on behalf of Clients for Primary Market Investment in Secured / Unsecured NCD, IPO (Anchor) & QIP.
ASBA Banks: Ensure Rights / IPO Application bids are properly uploaded on exchange portal and funds are blocked in the Client A/c. checking TRS uploading / bidding in the electronic bidding system of Stock Exchange(s).

March 2023 - January 2024

• Manage trade & settlement activities.
• Ensures smooth processing of pay-in / payout after receiving obligation file from exchanges.
• Liaising with broker for ECN, hand delivery trades and giving trade matching confirmation.
• Processing and Keeping track of headroom request for ADR / GDR.

• FX coordination – Coordinating with Traders, Treasury team and other internal teams for FX booking, confirmation of swifts (MT103 / MT202) and follow-up of accounting entries in system
• Managing all FX related queries, keeping track on Forward FX booked by client and monitoring Forward limits assigned to client
• Regulatory Reporting – All daily, fortnightly, and monthly regulatory reporting activities handled and ensured timely submission and completion
• Reconciliation – Performing daily cash / securities reconciliation to ensure all legs of cash & securities are settled properly and liaising with settlements and corporate action team to clear identified breaks
• Static Data Set up – Securities master creation and client set-up done in the system on receipt of intimation from respective teams
• Other Adhoc activities – Monthly MIS, addressing adhoc query received from client / management / regulators and internal teams
• Vault Reconciliation, performing UAT for system enhancement

• Company Overview: (A Joint venture between State Bank of India & Societe Generale)
• Announcement of Corporate Events: Scanning of the Daily bulletin, circular issued by exchanges viz BSE/ NSE and incorporating the corporate action event our internal system Intellect Custody
• Intimation to the clients: Intimating the equity & debt monetary and non-monetary events to domestic clients via email and to FII/FPI clients via swift (MT 564 / 566/599)
• Monitoring of Receivables: To ensure that the Forecast report is monitored to keep a track of monetary and non-monetary events and a subsequent follow up to be done for receivables in a timely manner
• Transfer of stock for CP / CD redemption to the issuers / IPA’s account prior to maturity
• Sending Closed settle report & Letter via Fax/Scan (mentioning Bank A/c details on it) to the issuers / IPA's
• Front Desk Queries: Addressing client queries relating to forthcoming events, follow up status for monetary and non-monetary events with companies/ arrangers, liaising with IPA's for CP / CD Redemptions
• Bank Account Reconciliation: Checking of Receipts vis-a-vis receivables in customers’ bank account
• Coordinating for UTR Number, Escalation in case of non-receipt of funds
• Exception Monitoring and Follow up: Follow up for all Non receipts, short receipts, defaults in payments, TDS Certificates on regular basis, reporting to clients and escalation to superiors
• E-voting/Proxy Processing: Registration of client on CDSL, NSDL & KARVY e-voting platform and vote as per the client instruction received
• Primary Market: Preparing Market Snapshot in case of any Forthcoming IPO / OFS announced on exchanges and intimate to all the Clients regarding the same
• Primary Market Debt, Equity IPOs
• Filling up & Sending Application Forms on behalf of Clients for Primary Market Investment in Secured / Unsecured NCD & IPO
• ASBA Banks: Ensure Rights / IPO Application forms are sent to the SCSB for blocking of funds in the Correct Client A/c
• Checking TRS received from SCSB after uploading / bidding in the electronic bidding system of Stock Exchange(s)
• Other Activities: Vault Reconciliation, Static data creation, Creating Contact database, Credit Rating, Unlisted companies follow up, sending tax report to tax consultant, inform cash team to repatriate the amount based on Swift message (MT599) received from FII/FPI Clients
• Monitor and update latest Paid-up capital in our system received from our receive provider
• Prepare SEBI / RBI / NSDL Report for the Security entitlement for all the FPI Clients
• Monthly MIS and reconciling corporate action data for Billing Team
• (A Joint venture between State Bank of India & Societe Generale)

• Company Overview: (Deutsche Bank Group)
• Covering Mandatory & Voluntary Corporate Action events for the bank's Prime Brokerage Clients, Swap Clients, Stock Borrow & Loan Counterpart, Collateral Borrow & Loan Counterpart and Proprietary Desk
• On a daily basis ensuring that all corporate action events across all markets are correctly processed, reviewed and reconciled as necessary in accordance with procedures and event deadlines
• Processing & calculating Client’s entitlement
• Reflecting timely and correct entitlements on the client’s portfolio
• Deadline Agreement with Loan and Borrow counterpart
• Reconciling inventory with short, long, borrowing plus lending positions
• Liaising directly with Custodian banks and Registrar to ensure that clients are not restricted from participation in a corporate action i.e
• QIB letters
• Seeking & capturing instructions from Prime Brokerage Clients, Swap Clients, Stock Borrow & Loan Counterpart, Collateral Borrow & Loan Counterpart and Proprietary Desk
• Notifying Proprietary Desk about Arbitrage opportunity
• Sending depot instructions to Custodians via swift messages 565, 599 of Prime Brokerage client’s and firm books
• Sending Loan instruction to borrow counterpart & liability notices to short books on deadlines
• Sending Broker Protect notice to buy counterpart on eligible trades
• Consistent interaction with Custodian banks to ensure receipt of our instructions
• Working on Swift messages like 564, 565, 567, 599 etc
• Work closely with Registrar, Stock Loan, Settlements, International Corporate Actions Departments and Traders
• Monitoring & sending collateral report everyday to return collateral loans and borrows on upcoming event before critical dates
• Investigate reconciliation discrepancies on a daily basis ensuring all discrepancies are resolved and cleared at the earliest opportunity
• Liaising with internal departments and clients, custodians, service providers to ensure all queries are resolved
• Escalate issues to supervisor/manager at appropriate times in line with controls
• (Deutsche Bank Group)

• Handling Inbound contact centre for trading desk
• Handling volume generation
• Handling BCP for branches all over India in system down time
• System and process up-gradation
• Preparation of MIS reports
• Generated Revenue from Never Traded customers
• Successfully handled Standard chartered PLC IDR project at contact centre

• Handling Inbound contact centre for trading desk
• Confirmation for order executed for clients
• Handling all trade related queries
• Helping officers to resolve on call queries related to Derivative and Equity segment
• Handling escalated calls for Equity-derivative segment
• Explaining FNO open positions to customer and margin requirements
• Making customer understand the derivative product
• Explaining corporate action and their effect on equity, derivative prices, customer holdings & Derivative contracts

• Handling Inbound contact centre for Trading desk
• Confirmation for order executed for clients
• Handling all trade related queries
• Helping officers to resolve on call queries related to Derivative and Equity segment
• Handling escalated calls for Equity-derivative segment
• Explaining FNO open positions to customer and margin requirements
• Making customer understand the derivative product
• Explaining corporate action and their effect on Equity, Derivative prices, customer holdings & Derivative contracts

• Dealing and Placing order in Equity, Derivatives Segment in NSE & BSE
• Confirmation of trades executed for clients
• Handled Pay-in Pay-out shortage calling data in post market hours
• Controlling on the debit & credit balances of clients & accordingly intimating them
• Risk Management in Capital Market: Operated NEAT, BOLT & ADMIN broker terminal
• To ensure Intra-day margin position are completely square off