Pooja Soni

 Actively involved in the end-to-end IPO process of Kalpataru Limited, ensuring compliance with the SEBI (ICDR) Regulations, Companies Act, 2013, and Stock Exchange listing requirements; assisted in the drafting, review, and filing of offer documents including the Red Herring Prospectus and Prospectus, in coordination with legal advisors, merchant bankers, and statutory auditors.

 Supported due diligence processes by preparing and organizing statutory and secretarial records, statutory policies, resolutions, and regulatory documents under SEBI Regulations; facilitated Board and Committee meetings concerning IPO approvals, allotment of shares, capital structuring, and corporate governance, including drafting of agendas, minutes, and ensuring timely regulatory compliance.

 Developed and maintained a structured post-listing compliance framework, including creation of calendar events and control checklists; post-listing, monitored, tracked, and implemented regulatory and statutory changes to ensure ongoing compliance with SEBI (LODR) Regulations, Stock Exchange requirements, and other applicable laws.

 Managed corporate actions and regulatory filings related to the conversion of Compulsorily Convertible Debentures (CCDs) into equity shares and the issuance of Non-Convertible Debentures (NCDs); ensured timely filing of necessary forms, returns, disclosures, and applications with regulatory/statutory authorities such as MCA, NSDL, CDSL, and Stock Exchanges.

 Handled end-to-end secretarial compliance for 20+ group entities including companies, LLPs, partnership firms, and trusts, ensuring consistency and accuracy in statutory records and filings

• Compliances, Liaising and Coordination with the Ministry of Corporate Affairs (MCA), Registrar of Companies (ROC), Securities and Exchange Board of India (SEBI), and other statutory authorities like NSDL, CDSL, NSE, BSE; liaising with external regulators & advisers, such as auditors, bankers, shareholders, etc.
• Practical knowledge of conduction of Board/ Committee/ General Meetings, postal Ballot, proficiency in drafting and preparation of minutes, agendas and Board papers within timeline, meticulous attention to secretarial documentation and oversee follow-up action post Board meetings.
• Handled regular Compliances under SEBI(LODR), SAST and PIT Regulations; ensuring abidance with SDD Compliances, event-based compliances, Quarterly, Half Yearly & annual secretarial compliances; ensured all regulatory filings, applications, returns, etc. are submitted within the stipulated deadlines under all applicable laws.
• Implemented a structured compliance monitoring framework to track and report on compliance across different functions of the organization; formulation of compliance calendar, creation of calendar events and checklists and managed all routine activities of the secretarial department.
• Assisted in preparation of Annual Report and Business Responsibility & Sustainability Report (BRSR); assisted in compliances related to ESOP.
• Maintaining statutory records, registers, and documentation in accordance with legal requirements.
• Handled payment of dividend to shareholders and the entire work relating to dividend payment such as coordinating with RTA, Banks and shareholders; transfer of unpaid/unclaimed dividend and shares to IEPF Authority.
• Amalgamation process including holding of Hon’ble NCLT convened Creditors Meeting.
• Handle correspondence, queries, concerns and collate information and communicate decisions to relevant Company’s shareholders, investors, and regulatory authorities.
• Adherence to all rules and regulations concerning the company practices and procedures and providing necessary functional & operational support to other departments; supporting compliance with all statutory requirements and working with internal and external agencies to carry out legal compliance audits.

• Day to day compliances of Private Companies, Listed Companies (Quarterly/ Half Yearly/ Yearly), LLPs and Annual Compliances of Trust.
• Preparation of Annual Filing Documents, Search report and due diligence report including physical due diligence; ensured all regulatory filings, applications, returns, etc. are submitted within the stipulated deadlines under all applicable laws.
• Overseeing Company's share transfer and issuance process, ensuring compliance with relevant regulations.
• Incorporation of Companies (Private, OPC, Foreign Subsidiary Company and LLP) and Conversion of Companies.
• Merger and Amalgamation (M&A) process including Fast Track Merger; all necessary support in secretarial and regulatory compliances required during M&A activities, or any corporate restructuring exercises of group companies.
• To Manage Secretarial Audit of listed Companies.
• Provide legal and regulatory insights to cross-functional teams and assist in decision-making processes; guided other functional members on Company Law and on issues related to document management, litigation holds, litigation strategy, and document management process improvements.
• Supporting compliance with all statutory requirements and working with internal and external agencies to carry out legal compliance audits.