Sanchita Agrawal brings over 14 years of concentrated experience in SEBI regulatory and compliance advisory for capital market intermediaries. A Fellow Chartered Accountant and Law Graduate with NISM-Series III-A certification, she advises stock brokers, portfolio managers, alternative investment funds, research analysts, and investment advisers at KSMG & CO on their obligations under the SEBI Act and its associated regulations.
Her engagements span registration and licensing applications, the drafting of internal compliance policies and manuals, preparation for internal and regulatory audits, responses to SEBI circulars and inspections, and the recurring obligations that follow once a licence has been granted. A significant part of the work is translation, turning the text of evolving circulars into procedures that a business can actually operate day to day.
Her approach is preventive rather than reactive: identify regulatory exposure before it becomes a query, and build compliance processes that support the business rather than obstruct it. She documents thoroughly, on the view that the real test of a compliance framework is whether it can be explained clearly to a regulator in writing, not whether it exists in principle.
Her view, built over more than a decade of working alongside capital market firms, is a straightforward one: compliance is the discipline through which a financial institution earns the trust of its regulators, its counterparties, and its clients, and everything else in the firm is easier once that trust is in place.