Dr. Pravin Bathe

Experienced Compliance professional in Capital Markets with work experience of more than 21 years in the financial services industry on retail as well as Institutional front. Worked with Regulator, Domestic as well as with MNC firm of high repute. Skilled and has deep understanding of Indian Capital Market activites related to Stock Exchange, Depository, Investment Banking, Stock Broking (Institutional, Fintech, Retail), Custody, Depository Participants, Commodity Broking, PMS, Research Analyst, Investment Advisory, AIF, Mutual Fund etc. Also has hands on work experience of Compliance, AML, Trade Surveillance, Internal and Compliance Assurance Audits, Insider Trading - Policy, Control Function and Employee Trading, Physical Commodity Market (Mandi), Insurance Broking, etc. Also has strong Audit and Analytical skills. Professional with B.Sc. (Stats), MBA (Finance), MBA (Marketing) and a Ph. D. In Banking & Finance.