Consultants

Mrs. Iyer worked for SBI Capital Markets Limited (SBICAP), which is the investment banking arm of the State Bank of India for 18 years (i.e. from 1994-2012). She was a part of the Capital Markets Group handling IPO advisory and other capital market-related transactions. Mrs. Iyer has led the M&A & Advisory team, dealing with various transactions including sell-offs, acquisitions, joint venture advisory, etc.

After SBICAP, Mrs. Iyer worked for CCL Consultants (India) Private Limited, a compliance consultancy firm, for 7 years from 2012-2019. The nature of assignments handled at CCL includes the following:

• Provided advisory services to foreign entities in getting their investment banking arm/ investment advisory firm in India to obtain the required authorization from SEBI and putting together their compliance policies.

• Advised a Foreign Bank, registered as a Foreign Portfolio Investor, on all its regulatory obligations under the SEBI and RBI rules.

• Provided retainer services to the India branch of a Foreign Bank advising them on various regulatory obligations, as prescribed by RBI.

• Assisted a private equity fund in framing of AML & CFT and Anti-bribery and corruption policies and review of the status of compliance vis-à-vis the policies.

• Assisted two entities in obtaining the Certificate of Registration as an NBFC from RBI and assisted them in putting in place their compliance framework.

• Framed compliance policies for an NBFC.

• Provided ongoing compliance advisory for a newly set up NBFC.

• Carried out a compliance review of an Indian financial services firm (which was part of an international group of companies) to ensure that its activities are in compliance with the Group compliance policies.

Mrs. Iyer’s NBFC experience includes:

• Assisted entities in obtaining the Certificate of Registration as an NBFC from RBI.

• Assisted a Company in obtaining approval from RBI for change of control in a listed NBFC.

• Provided compliance support services to the above company for around six months post receipt of RBI approval.

• Provided compliance advisory services to a newly set up NBFC-ND-NSI post receipt of registration assisted in framing the following policies:

• Loan Policy

• KYC Policy

• Investment Policy

• Outsourcing Policy

• Fair Practices Code

• IT Policy

• Operating Policy