Disclosures

Home    Investor Relations    Disclosures
Disclosures

Securities offered in the United States are offered through Elara Securities, Inc., member FINRA, SIPC, a wholly owned subsidiary of Elara Capital, PLC.

Compliance Officers:

Manu Krishnan – MLRO

Manu Krishnan joined Elara in 2005 and presently heads Operations for Elara in London. He has over 19 years’ experience in Investment banking operations particularly in coordinating primary listings of Equity / Global Depositary Receipts and Convertible Bonds on the Luxembourg, Singapore and London International Exchanges. Manu has strong domain expertise in areas of legal, regulatory and documentation for Capital Markets new issues and has successfully concluded over 47 primary issue mandates with Elara. He also oversees trade support and settlement for the International Sales & trading team. Prior to Elara, he was working with  Kotak Mahindra (UK) Limited. Manu has an MBA from Oxford Brookes University, U.K and a first degree in commerce from Mahatma Gandhi University, India. Manu is the MLRO representative for Elara with the UK FSA. 

Gazala Khan – Chief Compliance Officer

Gazala Khan is the Chief Compliance Officer at Elara Capital PLC. Gazala graduated in Commerce from the Mumbai University, India and is also a professionally qualified Company Secretary from ‘The Institute of Company Secretaries of India’ and a Qualified Lawyer from the ‘University of Mumbai, India’. She has also earned the Investment Management Certification pertaining to UK Regulations and Markets from the CFA Society of the UK. Gazala has over 18 years of valuable expertise from her previous experiences with Mehta & Mehta, Company Secretaries; Reliance Capital Asset Management Limited, India; Reliance Capital Asset Management (UK) PLC & UTI International Limited in core compliance & legal work spanning across UK, Indian and overseas companies and offshore funds.

Anand Rao – Compliance Officer: Elara Securities (India) Private Limited.

Anand holds an MBA from the University of Pune with specialization in Finance and is a commerce graduate with Banking & Finance as the specialized subject.
He has a career spanning over 15 years in the financial services sector. Over the past and present years, he has rich work experience in intermediary compliances pertaining to Stock Broking, Research Analyst, Investment Advisers, Alternative Investment Funds, Depository Participant services, Merchant Banking and Portfolio Management Services (PMS) across assignments handled.

Anand has been instrumental in setting up various policies, procedures, processes and controls including licensing to set-up for Indian business operations under compliance requirements of SEBI, Exchanges, Depositories etc. and also requirements applicable under various complex cross border regulations of FCA, SEC, FINRA etc. for proper business conduct and ensure that best global practices are followed.

Prior to Elara, Anand has worked in organizations such as UTI Securities Limited (now known as Standard Chartered Securities (India) Limited) and Batlivala & Karani Securities India Private Limited.  


Pillar 3 Disclosure

https://elaracapital.com/wp-content/uploads/2022/07/CRDIV-Pillar-3-2021.pdf

Stewardship Code

https://elaracapital.com/wp-content/uploads/2022/07/Stewardship-Code-2022.pdf

FCA Remuneration Disclosure

Remuneration Code – March 2022

GDPR Privacy Notice

GDPR Privacy Notice

RTS28

Trade Execution Report RTS28


Disclosure Of Track Record Of Public Issue(s) Managed By Merchant Banker

Infibeam Avenues Limited (formerly known as Infibeam Incorporation Limited)

Track Record – RITES Limited

Track Record – RITES Limited – 30 days report

Track Record – RITES Limited – 90 days report

Track Record – Rail Vikas Nigam Limited

Track Record – Rail Vikas Nigam Limited – 30 days report

Track Record – Rail Vikas Nigam Limited for financial year ending March 31, 2020

Track Record – Rail Vikas Nigam Limited -90 days report

Track Record – Infibeam Avenues Limited for financial year ending March 31, 2019

Track Record – RITES Limited for financial year ending March 31, 2020

Track Record – Rail Vikas Nigam Limited for financial year ending March 31, 2020

Track Record – RITES Limited for financial year ending March 31, 2020

Track Record – RVNL Limited for financial year ending March 31, 2020

Track Record – RITES Limited for financial year ending March 31, 2021

Track Record – RVNL Limited for financial year ending March 31, 2021

Track Record – RVNL Limited for financial year ending March 31, 2022

Track Record – Dharmaj Crop Guard Limited

Track Record – Dharmaj Crop Guard Limited – 90 days Report