Compliance training for stock brokers, APs and DPs.
Compliance awareness, KYC/AML and inspection-readiness training and expert guidance for broking firms and their compliance teams, from a former Head of AML & Client ID (AVP), Credit Suisse, with capital-markets compliance experience from 2002 to 2015.
Capital-markets compliance, 2002–2015.
SEBI and stock exchange inspections and filings, KYC and account remediation, sub-broker documentation, and AML and compliance leadership at Credit Suisse (Head of AML & Client ID, AVP), Angel Broking (now Angel One) and IL&FS.
Training and guidance for broking compliance teams.
Practical sessions built around how broking operations, KYC desks and compliance teams actually work.
SEBI & exchange compliance
SEBI (Stock Brokers) Regulations, insider-trading (PIT 2015) and PFUTP 2003 awareness, and keeping pace with BSE, NSE and MCX circulars.
KYC & AML for brokers
Client due diligence, KYC remediation, transaction monitoring and red flags that front-line and compliance staff should recognise.
PMLA & STR reporting
When and how suspicious transactions are escalated and reported to FIU-IND, with internal escalation and record-keeping habits that hold up.
Inspection readiness
Preparing for SEBI and exchange inspections, and periodic internal reviews of compliance teams and branch offices.
Policies & SOPs
Reviewing internal manuals and SOPs for trading, KYC/AML, risk management, grievance redressal and cyber security, and training teams on them.
Cyber resilience & data privacy
SEBI's Cyber Security & Cyber Resilience framework and the DPDP Act 2023 for protecting client data.
Built for the people who keep a broking firm compliant.
- Stock brokers: directors, partners and management teams.
- Compliance & Principal Officer teams: refreshers and deep dives.
- Sub-brokers / Authorised Persons: day-to-day compliance awareness.
- Depository Participants: KYC and operations teams.
- Branch and operations staff: induction and annual staff training.
Pick what fits your team.
- In-house workshops for compliance, KYC and operations teams.
- Staff training sessions for induction or annual refreshers.
- Readiness reviews: a structured walk-through before an inspection or internal audit.
- One-to-one guidance for compliance heads and Principal Officers.
Scope and fees are shared on enquiry.
Tell me what your team needs.
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General compliance training and expert guidance only. This is not legal advice, and no legal services are offered.