Pratibha Sanghi

Heading the Department for Secretarial Compliance

• Secretarial Compliance: Leading the department responsible for all secretarial compliance activities within the company.
• Conducting Meetings: Frequent communication with Board members to plan and organizing Board, Committee, and Shareholder meetings in accordance with the Companies Act and Secretarial Standards.
• Corporate Governance: Advising on and implementing good corporate governance practices within the organization.
• Policy Drafting: Drafting various policies and procedures as required by the Companies Act.
• Overseas Compliance: Managing secretarial compliance for overseas entities in coordination with international consultants. (8 overseas entities)
• Timely Filings: Ensuring the timely filing of various forms and returns.
• ESOP Management: Overseeing the Employee Stock Ownership Plan (ESOP) management of the company.
• Board Advising: Advising the Board on various corporate decisions and on Board and committee structure and procedures.
• Regulatory Queries: Addressing regulatory queries and ensuring compliance.
• Audit Queries: Handling queries from statutory audits, secretarial audits, and internal audits.
• Annual Report: Preparing and coordinating for the Annual Report Designing and printing.
• Digitization of Records: Oversaw the digitization of all historical records of the company to identify gaps and ensure proper organization and maintenance.
• Share Buyback: Successfully completed the company's share buyback process.
• Ensure the Board is consistently updated on regulatory changes.

Secretarial Practices and Team Collaboration

• Established Secretarial Practices: Implemented and established comprehensive secretarial practices in a new organization.
• Team Collaboration: Played a key role in the larger secretarial team of group companies, contributing to unified compliance and governance standards.

Core Team Member for IPO Execution

• Ujjivan Financial Services Limited (UFSL) IPO (2016):Played a key role in executing the IPO process of UFSL, valued at INR 882 crore.
  
• Ujjivan Small Finance Bank Limited (USFB) IPO (2019):Integral part of the core team that executed the IPO process of USFB, valued at INR 750 crore.
  

Key Responsibilities:

• Registrar and Depositories Coordination: Managed the appointment and coordination with Registrar and Depositories.
• Prospectus Documentation: Prepared and finalized Standard Certificates for the Draft Red Herring Prospectus (DRHP), Red Herring Prospectus (RHP), and Prospectus.
• IPO Filing and Listing:Key team member in the execution of overall IPO activities, including the filing of DRHP, RHP, and Prospectus.
  Coordinated and submitted documents to NSE and BSE for the listing of equity shares offered in the IPO.
  
• Meeting Management:Conducted Board and Committee Meetings, including the preparation of notices, agendas, and minutes in accordance with the Companies Act, 2013, and applicable Secretarial Standards.
  Organized Extra Ordinary/Annual General Meetings with meticulous preparation of notices, agendas, and minutes.
  
• Directorial and KMP Management: Managed the appointment and remuneration of Directors and Key Managerial Personnel (KMPs).
• ESOP and ESPS Implementation: Led the implementation of the Employee Stock Option Plan (ESOP) and Employee Stock Purchase Scheme (ESPS).
• Annual Report Preparation: Prepared Annual Reports with a special emphasis on the statutory components.
• Legal Compliance: Analyzed and presented amendments to company law, ensuring the implementation of changes.
• Audit Coordination: Coordinated with Statutory, Secretarial, and Internal Auditors to complete the audit process.
• Cross-Functional Coordination: Facilitated communication and coordination across functions and Board levels.
• Share and Debenture Issuance: Managed the issue and allotment process for shares and debentures.
• Insider Trading Compliance: Implemented tracking systems and compliance under Insider Trading Regulations and the Insider Trading Code of the organization.
• Regulatory Filings: Ensured timely filing of returns and forms with the Ministry.
• Corporate Governance: Managed the increase in authorized share capital and the alteration of the Memorandum and Articles of Association.
• Share Transfer Management: Liaised with the Registrar and Transfer Agent (RTA) for the issuance of share certificates, including duplicates, transfers, transmissions, and dematerialization of shares.

Served as a consultant for various secretarial compliance matters for clients

• Independently handled the Secretarial functions of the listed Company (listed in BSE and NSE)
• Cheslind Textiles Limited was a part of LNJ Bhilwara Group, operated under Mayur suiting and shirting brand
• In 2015 the Company merged with its parent Company, RSWM Limited.

• Handled the Secretarial Compliances Independently.