Raghav Garg
Saharanpur
Summary
Motivated finance professional with hands-on experience in regulatory compliance, listing, and financial research. Seeking to contribute in a dynamic, growth-driven financial environment.
Overview
2
2
years of professional experience
1
1
Certification
Work History
Assistant Manager– Listing Compliance & Operations
Bombay Stock Exchange Limited
Mumbai
04.2024 - Current
- Process corporate restructuring schemes (Arrangement, Amalgamation, Capital Reduction) under SEBI LODR Regulations 37 & 59A; present proposals to the IRORG Committee and facilitate issuance of Exchange No Objection Certificates (NOC).
- Conduct detailed review and analysis of valuation reports and fairness opinions provided by merchant bankers for corporate schemes to ensure compliance with SEBI requirements and market best practices.
- Examine financial parameters such as share entitlement ratios and swap ratios in proposed restructuring transactions.
- Handling listing of securities under Rule 19(2)(b) of the Securities Contracts (Regulation) Rules (SCRR); prepare and submit recommendations to SEBI.
- Handled applications for reclassification of promoters/promoter groups under Regulation 31A of SEBI LODR Regulations.
- Review NCLT-related notices under Section 230(5) of the Companies Act, 2013, and coordinate with company for timely disclosures.
- Issue NOCs related to record dates for schemes and corporate actions.
- Draft responses to SEBI queries and provide regulatory comments and clarifications on behalf of the Exchange.
- Prepare reports for condonation of non-compliance with SEBI regulations and participate in regulatory inspections.
- Drafted and submitted comments on SEBI consultation papers related to listing regulations.
Research and Business Development Associate
Praedico Global Research Pvt. Ltd
05.2023 - 07.2023
- Assisted in client engagement and business development activities by identifying prospective clients and supporting lead generation efforts.
- Prepared customized reports and presentations to effectively position the firm's trading simulation platform to retail clients.
- Conducted product demonstrations and helped communicate the key features and benefits of the trading simulation platform to drive client onboarding.
- Contributed to market research efforts to analyze industry trends, competitor strategies, and client needs for refining sales pitches.
Education
POST GRADUATE DIPLOMA - SECURITIES MARKETS
NATIONAL INSTITUTE OF SECURITIES MARKETS
Mumbai, MH04-2024
Bachelor of Business Administration - Finance And Marketing
IMS UNISON UNIVERSITY
Dehradun, UK01.2022
Skills
- Regulatory compliance
- In-depth knowledge of markets and relationships
- Problem-solving
- Communication skills
- Technical analysis
- Fundamental analysis
- Capital markets expertise
Certification
- NISM-Series-VIII: Equity Derivatives
- NISM Series V-A: Mutual Fund Distributors
- NISM Series IX: Merchant Banking
- NISM Series VII: Securities Operations and Risk Management
- Advanced Excel, Word, PowerPoint and Outlook
Websites
Timeline
Assistant Manager– Listing Compliance & Operations
Bombay Stock Exchange Limited
04.2024 - Current
Research and Business Development Associate
Praedico Global Research Pvt. Ltd
05.2023 - 07.2023
POST GRADUATE DIPLOMA - SECURITIES MARKETS
NATIONAL INSTITUTE OF SECURITIES MARKETS
Bachelor of Business Administration - Finance And Marketing
IMS UNISON UNIVERSITY
Similar Profiles
Akshay ChavanAkshay Chavan
Assistant Manager at Bombay Stock Exchange Limited ( BSE )Assistant Manager at Bombay Stock Exchange Limited ( BSE )
Sashi SinghSashi Singh
Assistant General Manager-Information Security at BSE TECHNOLOGIES PVT LTD(BOMBAY STOCK EXCHANGE LTD)Assistant General Manager-Information Security at BSE TECHNOLOGIES PVT LTD(BOMBAY STOCK EXCHANGE LTD)
Siddharth YadavSiddharth Yadav
Associate Manager at Bombay Stock ExchangeAssociate Manager at Bombay Stock Exchange
Vaibhav GoelVaibhav Goel
Social Media Manager at Lovely Professional UniversitySocial Media Manager at Lovely Professional University
Salman AhmadSalman Ahmad
Salesperson at Khushnood ComputersSalesperson at Khushnood Computers