Company Secretary

The role of a Company Secretary in a stock broking company is crucial for ensuring Broking compliances regulatory compliance corporate governance and efficient administrative operations Key Responsibilities Regulatory Compliance Ensure Compliance with Laws and Regulations Monitor compliance with the Companies Act Securities and Exchange Commission SEC regulations and other relevant laws Ensure adherence to stock exchange rules and guidelines Liaison with Regulatory Bodies Act as the primary point of contact between the company and regulatory bodies such as the SEC stock exchanges and other relevant authorities Maintain Statutory Records Keep up-to-date records of statutory registers board resolutions minutes of meetings and other important documents File Statutory Returns Timely submission of annual returns financial statements and other required filings to regulatory authorities Corporate Governance Board Meetings and General Meetings Organize and prepare agendas for board meetings committee meetings and annual general meetings AGMs Ensure accurate recording and dissemination of minutes Advisory Role Provide guidance to the board on corporate governance best practices legal obligations and ethical standards Policy Development Assist in the development and implementation of corporate policies and procedures Administrative Functions Shareholder Relations Manage communications with shareholders ensuring they are kept informed of company developments Handle dividend payments and shareholder queries Document Management Oversee the safekeeping of important company documents and ensure their integrity and confidentiality Risk Management Assist in identifying and mitigating legal and compliance risks Reporting and Communication Internal Reporting Prepare reports for the board of directors on compliance governance and administrative matters External Communication Ensure timely and accurate disclosures to stakeholders and regulatory bodies Legal Advisory Contract Management Review and advise on legal agreements contracts and other documentation to ensure legal and regulatory compliance Dispute Resolution Assist in resolving legal disputes and liaising with external legal advisors when necessary