Summary
Overview
Work History
Education
Skills
Certification
Languages
Hobbies and Interests
Timeline
Generic

Saksham Kaushik

Noida

Summary

Experienced Legal Professional with over 11 years of work experience. Proficient in advising on regulatory issues and compliances involving business, legal, financial, and reputational Impact.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Vice President

Bajaj Financial Securities Limited
10.2024 - Current
  • Responsible for overall legal function of BFSL and coordination with group companies
  • Advising departments across the company including Business, Operation, Human Resources, IT, Marketing etc
  • Drafting and vetting of Agreements such as Service level agreements, vendor agreements, agency etc. ,for the respective departments
  • Drafting and Reviewing of policy's

Senior Associate

Shardul Amarchand Mangaldas & Co.
07.2023 - 10.2024
  • Advising clients across all aspects of Indian Capital Market and GIFT-IFSC on compliances, regulatory risk assessment, assisting in obtaining approvals and registrations, formulating internal policies and compliance programs etc
  • Advising clients on SEBI regulations including Stock brokers, Foreign Portfolio Investors, Intermediary Regulations, Credit Rating Agencies, LODR and ICDR etc
  • Handling advisory briefs for market intermediaries on aspects relating to trading and settlement, applicability of NBFC provisions, Beneficial ownership, related party transactions, change in control etc
  • Representing clients in regulatory investigation, enforcement proceedings and disputes before SEBI
  • Handling securities litigation
  • Reviewing and advising clients on their respective agreements and policies

Chief Manager

National Stock Exchange of India Limited
03.2018 - 06.2023
  • Advising the Regulatory Department on various legal regulatory issues, corresponding with SEBI and other stakeholders
  • Advising Business departments on their day-to-day operations including for launch of new products, approvals, and correspondence with SEBI and IFSCA etc
  • Responsible for managing high stake Regulatory Disputes
  • NSE representative in Working Group for GIFT City - IFSC - International Bullion Exchange for drafting of the constitutional documents
  • Extensively worked on the launch of Unsponsored Depository Receipts (UDR) launched first time in India in the GIFT CITY IFSC including analysis of Regulatory framework, Domestic and Foreign Taxation related issues, drafting of the product disclosure statement, agreements, etc
  • Successfully managed the multifaceted regulatory Colocation matter before Securities Appellate Tribunal (SAT), High Court and Competition Commission
  • Handled large Governance matter in the proceedings initiated by SEBI involving the former MD & CEOs and other senior management of NSE including conduct of internal enquiry
  • Extensively worked on the SEBI Settlement Regulations including negotiating with SEBI with respect to the settlement amount in the above matters
  • Handled arbitration invoked by NSE against an Insurance Company and successfully managed proceedings before the Competition Commission
  • Worked closely with Regulatory Department on various legal issues involving trading members and listed entities
  • Attending Board Committee meetings, apprising and advising the Committee on various legal issues and suggesting remedial measures
  • Worked extensively with reputed law firms viz SAM, AZB, CAM, ELP, Trilegal etc
  • And briefed Senior Counsels viz Attorney General of India Mr
  • Venkatramani, Mr
  • Neeraj Kishan Kaul, Mr
  • Shyam Divan, Mr
  • Rajiv Nayyar, Mr
  • Gopal Jain, Mr
  • Janak Dwarkadas, Mr
  • Darius Khambata, Mr
  • Ravindra Kadam, Mr
  • Venkatesh Dhond, Mr
  • Peshotan Mody, Mr
  • P.S Raman and Justice Mr
  • Somasekhar Sundaresan (former counsel)

Manager

ICICI Bank
12.2015 - 03.2018
  • Responsible for handling litigation including Senior management matters in DRT, High Court, Civil & Criminal Court, and Consumer Courts
  • Vetting of Plaints, Original Applications, Securitization Applications and Written statements filed in DRT, Civil and Consumer Forum and Writ Petitions and PIL in the High Court
  • Reviewing, standardizing, and streamlining processes and documents of the bank, Memorandum of Understanding and Settlement letters and Consent Terms Drafts
  • Providing Legal Advisory to the Branches on various legal issues

Associate

Rai and Associates
06.2013 - 11.2015
  • Conducted cases Debt Recovery Tribunal, Allahabad High Court, Lucknow Bench, District Consumer Forum, State Consumer Disputes Redressal Commission
  • Drafting Writ petitions, Securitization Application, Complaints and Replies/rejoinders

Education

Class XII -

City Montessori School
Lucknow

B.A LLB.(Hons.) -

National Law University
Jodhpur
01.2013

Skills

  • Advising on Regulatory , Compliances and Corporate Governance issues
  • Handling large stake litigations
  • Rendering advice and opinion to company's management
  • Engaging with Regulators and Enforcement agencies

Certification

  • Insolvency and Bankruptcy Code course, Indian Institute of Corporate Affairs (Ministry of Corporate Affairs), 11/2018 - 03/2019
  • IOSCO/PIFS-Harvard Law School Global Certificate Program Phase I, 2022

Languages

Hindi
English

Hobbies and Interests

  • Reading books
  • Listening to music

Timeline

Vice President

Bajaj Financial Securities Limited
10.2024 - Current

Senior Associate

Shardul Amarchand Mangaldas & Co.
07.2023 - 10.2024

Chief Manager

National Stock Exchange of India Limited
03.2018 - 06.2023

Manager

ICICI Bank
12.2015 - 03.2018

Associate

Rai and Associates
06.2013 - 11.2015

Class XII -

City Montessori School

B.A LLB.(Hons.) -

National Law University

Similar Profiles

CREATE PROFILE
Saksham Kaushik