Documentos de Académico
Documentos de Profesional
Documentos de Cultura
Function
Inspection
Key Responsibility
Quarterly selection of
members for inspection
visits
Descriptive Parameters
1. Collate exchange data to assess risk and categorize members into
different buckets.
2. Prioritize
members,
calendar/schedule as
Exchange/SEBI.
and
prepare
per selection
quarterly
inspection
criteria approved by
Onsite inspection/
compliance visits
3.
Post inspection
activities
Authorised by:
Page 1
4.
1. Prepare the reply analysis note after receiving the members reply.
2. Schedule ICMA (Internal Committee for Minor Action) meeting, as
per convenience of members, prepare the agenda for the meeting,
and carry out administrative arrangements for the same.
3. Present the case of the member and preparation of draft minutes of
Committee meeting.
4. Coordinate for organizing of the Disciplinary Action Committee
(DAC), as per requirement.
5. Draft and send the action intimation letter to the member
communicating the monetary penalty imposed / interim direction
provided/ warning given to the member after finalisation of minutes
of the committee meetings.
6. Prepare review analysis note if a member requests for review of the
decision taken by committee meetings.
5.
Experience
Essential CA degree
Desired NA
Authorised by:
Page 2