Rahul Gaikwad - Deputy Manager - Company Secretarial, Designated As Company Secretary - 8 Yrs 0 Month
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Gangadhar OguriRahul Gaikwad - Deputy Manager - Company Secretarial, Designated As Company Secretary - 8 Yrs 0 Month
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Gangadhar OguriACS RAHUL S.
GAIKWAD
Associate Company Secretary, Membership No: A45243
Phone: +91 9892284342|Email: [email protected] |Location: Navi Mumbai
LinkedIn: https://www.linkedin.com/in/cs-rahul-gaikwad-7b2b0555
Professional Summary
• End-to-End Secretarial & Corporate Compliance: 8+ years of post-qualification experience with knowledge of end-
to-end Secretarial and Corporate governances.
• Governance & Board Support: Expertise in conducting Board/Committee/Shareholder meetings, drafting
resolutions/minutes, maintaining statutory records, and managing shareholder communications.
• Regulatory Filings & Audits: Proven track record in timely ROC, BSE filings, statutory audit coordination and resolving
compliance gaps.
• Contract Drafting & Advisory: Skilled in vetting, negotiating, and finalizing contracts/agreements (commercial,
technical, legal) to mitigate risks and align with business objectives.
• Stakeholder & Regulatory Liaison: Proven capabilities in liaising with regulatory authorities and external agencies
including ROC, BSE RBI and Banks and maintaining healthy relationships with relevant legal bodies.
Work Experience
❖ M/s. Mirae Asset Sharekhan Financial Services Limited | Navi Mumbai | Feb 22 – till date
(Formerly known as Sharekhan BNP Paribas Financial Services Limited) (NBFC-ML), Deputy Manager- Company
Secretarial, Designated as Company Secretary of the Company since Oct’ 23 till date.
Key Results Areas
Secretarial:
• Managed end-to-end secretarial compliances for 8 group companies (public and private) under the Companies Act,
2013, ensuring adherence to statutory requirements.
• Leading the issuance of issuance and listing of Commercial Papers (CPs) on the BSE, complying with SEBI
Operational Guidelines and SEBI (LODR), 2015.
• Ensured periodic/event-based compliances with BSE for listed CPs, including filings under SEBI regulations.
• Worked on Issue of Debentures under private placement allotment as per Companies Act, 2013.
• Actively Contributed to the change in control transaction for Sharekhan Group Companies, ensuring seamless
regulatory transitions.
• Drafted and finalized Board/Committee/General Meeting documents, including minutes, resolutions, and annual
reports, in alignment with ICSI Secretarial Standards (SS-1 & SS-2).
• Convening and Conducting Board Meetings/Committee Meetings/Extra-Ordinary General Meetings (EGM)/Annual
General Meeting (AGM) by producing agendas, Board Folders, taking down minutes, conveying decisions to
respective departments
• Worked on BoardPAC software, Board meeting management tool, for convening and conducting Board/ Committee
meetings.
• Maintained statutory records, registers, and minutes books as per Companies Act, 2013 and SEBI requirements.
• Filed e-forms, annual returns, and XBRL documentation with ROC, ensuring accuracy and timeliness.
• Executed corporate restructuring initiatives, including sale of subsidiaries, name change, MOA/AOA alterations,
and shifting of registered office.
• Liaising with concerned authorities such as BSE, ROC and RBI
• Coordinating with the Statutory Auditors, Internal Auditors, Secretarial Auditors and RTA of the Company to ensure
Compliances.
• Carried out Dematerialisation of Shares of all the Group Companies and supported merger/amalgamation processes.
2
❖ M/s NeoGrowth Credit Private Limited | Executive| Mumbai | May’19 – Oct’ 21
(NBFC & Debt Listed Co.), Executive – Secretarial, Legal & Compliance
Key Results Areas
Secretarial:
• Prepared and filed various e-forms, returns, and annual filings under the Companies Act, 2013.
• Managed SEBI (LODR), 2015 compliances for listed debentures, including Debenture Trustee compliances.
• Leading the Issue of Debentures under private placement ensuring compliance with statutory requirements and
facilitated listing on BSE. Also handled restructuring of listed debentures.
• Liaised with regulatory authorities (ROC, RBI, BSE) and maintaining strong relationships for seamless compliance.
• Drafted and maintained minutes, secretarial records, statutory registers, and other company records in compliance
with SS-1 & SS-2.
• Prepared Board, Committee, and General Meeting documents, including Annual Reports, ensuring adherence to
secretarial standards.
• Reviewed and validated documentation accuracy, including XBRL filings.
• Assisted in amendments to MOA & AOA, including drafting re-stated articles and managing registered office
relocation.
• Supported AGM & Board Meetings by preparing agendas, recording minutes, and communicating key decisions.
• Coordinated with external stakeholders, including Statutory Auditors, RTA and PCS
Legal & Compliance:
• Managing the drafting & vetting of various commercial agreements including Non-Disclosure Agreements (NDA),
Master Service Agreements, Leave and License Agreements, Lease Deed, Loan Referral Agreements, Collection
Agency Agreements, Vendor Agreements, MOU, Indemnity, Affidavits, POA and so on
• Conducting examination of Debenture Trust Deed, Debenture Trustee Agreement, Hypothecation Deed etc.
• Developing & implementing compliance policies, processes, and procedures
• Operating the Regulatory Compliance Management Software (Komrisk) and Contract Management Software
(Komtrakt) and publishing monthly compliance reports to the Management with corrective & preventive actions
• Monitoring the compliance activities of all departments and ensuring compliance with various laws
❖ M/s Rajesh Lifespaces Group of Companies | Executive | Mumbai | Jun’17 – May’19
(2 Debt Listed Co. & 1 Equity Listed Co and other 17 Group Companies), Designated as Company Secretary &
Compliance Officer of M/s. Rajesh Housing Private Limited
Key Results Areas
Secretarial:
• Handling Secretarial Compliances for 2 Debt-Listed Companies and assisted compliances of 1 Equity-Listed
Company, and other Group Companies.
• Incorporation of Public & Private Companies under the Companies Act, 2013, including Private Limited Companies.
• Organizing and Drafting agendas, notices, and documents for Board Meetings, Committee Meetings, and Annual
General Meetings (AGMs).
• Preparation of Minutes for General Meetings, Board Meetings, and Committee Meetings.
• Maintaining Statutory Registers, Books of Accounts, and filing E-Forms with regulatory authorities.
• Managing Quarterly Compliances for Equity-Listed Companies under SEBI (LODR), 2015.
• Handling Half-Yearly Compliances for Debenture-Listed Companies per SEBI (LODR), 2015.
• Liaising with Debenture Trustees and ensuring compliance.
• Restructuring of Listed Debentures and managing Debenture Issuances via Private Placement & Preferential
Allotment under the Companies Act, 2013.
• Filing E-Form INC-22 (Active) and handling Compounding of Offences under the Companies Act, 2013.
• Processing Charge-Related Filings and managing Change in Registered Office (within city limits).
2
• Drafting Annual Filing Documents, including Notices, Director’s Reports, Form MGT-9 (Annual Return Extract),
Form AOC-4, and MGT-7.
• Applying for DIN (Director Identification Number) and filing E-Form DIR-3 KYC.
Previous Experience
❖ Sep’16 – May’17 with M/s SG & Associates (Practicing Company Secretary Firm), Mumbai as Sub Team Leader
❖ Mar’13 – Jun’16 with M/s SG & Associates (Practicing Company Secretary Firm), Mumbai as Management Trainee &
thereafter continued as Assistant Company Secretary.
Education
• LLB from Siddharth College of Law (Fort) in 2017|Pass
• Qualified Company Secretary (ACS) from ICSI in 2016 |Pass
• B.Com. from Gokhale College, Mumbai in 2009| First Class
• HSC from Gokhale College, Mumbai in 2006; | First Class
• SSC from Indian Education Society School (IES), Mumbai in 2004|First Class
Certification /Training
• Certificate Course on Commercial Contract Management held by ICSI.
• Training on “Understanding Information Technology in Corporate Environment” from NIIT as prescribed by ICSI.
Extra-Curricular Activities
• Actively participated in National Cadet Corps (NCC)
Soft Skills
• Adaptability, Analytical and Collaborator
Languages Known
• Marathi, Hindi and English
Declaration
I hereby declare that the information provided above is true and correct to the best of my knowledge.
