Anurag Pal

Experience

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  Cybrosys Technologies Pvt. Ltd.

  Apr 2010 - Jun 2010

  Summer Training

  Identification and Development of cERP-solution clients in SMEs category especially in Malabar Region and Middle East Asia, Helped in acquiring more clients

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  Tally Solutions Pvt Ltd

  Apr 2012 - Oct 2013

  Manager - Institutional Sales and Business Development

  Business Development and execution of government funded projects of vocational training by GoI in association with Tally Solutions Pvt. Ltd. in 5 states.

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  Ministry of Defence of India

  Dec 2015 - May 2017

  Assistant Section Officer

  GOI policy formulation, implementation, dissemination

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  Securities And Exchange Board Of India

  Jun 2017 - Sept 2024

  Leading and conducting comprehensive investigations into potential securities law violations, including insider trading, market manipulation, fraudulent activities, and other breaches of regulations. Investigated Insider Trading, Fraudulent trading, front running, spoofing, poop and scoop, pump and dump.Achievements:▪ Improved investigation efficiency by 25% through streamlined processes. Investigated cases of non-compliance and misconduct, leveraging diverse sources like social media and third-party information. Prepared compelling briefs of evidence and Investigation Reports (IR) to support enforcement actions.▪ Increased enforcement effectiveness through targeted actions. Initiated adjudicative and enforcement actions against violators, addressing key issues like Insider trading, Price manipulation, etc. Implemented a risk management approach aligned with SEBI's Risk Management Framework.▪ Enhanced stakeholder satisfaction through proactive engagement. Engaged with external stakeholders, including top executives and regulatory officials, to ensure compliance and enforcement. Secured CSAT in the 90% percentile. Show less Compliance Monitoring, Corporate Finance, Authorization and Approval, IPOs regulation, M&A, Open Offer, Buyback, Delisting, ESOPs, Regulatory Enforcement and Investigations.Overall Achievements:▪ Part of the core team to enhance the SEBI (ICDR) Regulations, 2018. This resulted in a comprehensive revision of the ICDR Regulation, ensuring alignment with current market needs.▪ Played a key role in the update of SEBI (Buyback) Regulations, 2018. Contributed to policy updates with actionable insights, leading to more robust buyback regulatory frameworks.▪ Enhanced understanding and compliance among market players, fostering a more transparent and efficient securities market.▪ Developed a pioneering tool for standardizing offer documents, covering diverse corporate actions such as IPOs/FPOs, Rights Issues, Mergers, Open Offers, and Buybacks. Significantly improved the consistency and quality of submissions, facilitating smoother regulatory review processes.▪ Division of Issue and Listing June 2017 – August 2018▪ Compliance and Monitoring Division August 2018 – August 2021 Show less

  • Manager - Investigations Department

    Jun 2023 - Sept 2024

  • Manager, Vijayawada Office, Andhra Pradesh

    Aug 2021 - Jun 2023

  • Manager - Corporation Finance Department

    Apr 2021 - Aug 2021

  • Asst Manager - Corporation Finance Department

    Jun 2017 - Apr 2021
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  RAK International Corporate Centre (RAK ICC) Government of Ras Al Khaimah

  Oct 2024 - now

  Compliance Specialist

  Compliance monitoring, Onboarding, Inspection w.r.t. entities in Virtual Assets and Web3 Technology space /activities