Curriculum vitae Of Saied Mahmud Zubayer

: Contact Address:

Mailing Address: Saied Mahmud Zubayer Manager and Head of the Department, Monitoring & Compliance Department Dhaka Stock Exchange Limited, 9/F, Motijheel C/A, Dhaka-1000.

Permanent Address: Vill. Rajapur, P.O-Rajendrapur, P.S-Kotwali, Dist. Comilla Contact Phone : +8801713-425832 (Cell) +8802-9564601 Ext.153 (Office)

: Vision and Career Objective:

To be a triumphant business executive in area of Capital Market.

: Relevant Experience:

About Ten years working experience in Dhaka Stock Exchange Limited (DSE) as an Executive, Senior Executive and Manager of capital market operations (Monitoring, Investigation & Compliance Department of Dhaka Stock Exchange Limited), which began from 4th January 2006 to till, continue.

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Current Status: Manager and Head of the Department, Monitoring & Compliance Department Dhaka Stock Exchange Limited.Experience as:

Chief Regulatory Officer (In-Charge)Dhaka Stock Exchange LimitedFrom September 22 to October 02, 2014

Area of Works:

250 (two hundred fifty) TREC (Trading Right Entitlement Certificate) holder companies (Stock Dealers and Stock Brokers) and along with their 619 branch offices and 298 extensions of head offices as well as all listed securities and Depository Participants of Central Depository of Bangladesh Limited.

Previous Experience:

Worked as an Executive (Finance) in SASM Group, 27, Dilkusha C/A, Dhaka-1000 from January 01, 2005 to December 31, 2005.

Capability

Leadership qualities, capable to take higher responsibility, creativity, commitment, punctuality, work under pressure, role in inter departmental harmony, sensible personality etc.

Key Job Responsibilities:Core responsibilities are:

Set minimum admission standards and eligibility criteria for TREC holders;

Formulate rules and regulations relating to proprietary and client level trading by

the TREC holders;

Create awareness about the code of conduct amongst the TREC holders;

Process approvals/NOCs for changes in majority shareholding of brokerage

houses;

Formulate comprehensive guidelines for TREC holders to meet all obligations to

investors in conformity with applicable laws;

Develop detailed system for TREC holders to keep proper records of all

transactions and orders and client profile;

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Ensure that all post trade information/reports are made available to investors by

TREC holders in line with prescribed rules/regulations;

Monitoring compliance of all the requirements for TREC holders in accordance

with the securities laws and recommend/initiate enforcement actions in case of

non-compliance;

Ensure continuous monitoring;

Ensure compliance with the capital adequacy regime;

Review and implement risk management standards;

Conduct research of various jurisdictions in respect of risk management and

developments therein; and

Adopt and implement any international standard code of conduct with approval

from RAC.

Establish compliance procedures to ensure that the procedures reflect current laws

and provide adequate guidance to the employees about what is permissible

conduct;

Supervise system audit of brokers/dealers and introduce a system of regular

inspection of brokers/dealers; and

Create awareness among market participants including TREC holders, regarding

the Code of Conduct and other compliance issues through regular seminars,

newsletters and workshops.

Ensure the compliance of BSEC directive No. SEC/CMRRCD/2002-90/34 dated

July 29, 2008 (for branch office)

Ensure the compliance of BSEC Order No. SEC/SRI/DSE-POLICY/14/2010/256

dated August 17, 2010 (Monitoring for stock brokers/dealers).

Any other SEC orders /directives/letters through CRO, DSE

Order of CRO, DSE.

Overall Duties and Responsibilities:

MONITORING:

Key job responsibilities of monitoring are:

General monitoring ordered by BSEC and directed by CRO on routine basis.

Special monitoring ordered by BSEC and directed by CRO as and when required

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Spot Monitoring ordered by CRO

DP monitoring of the TREC holder companies

Any other monitoring ordered by CRO to inspect the TREC holder companies

time to time.

Listed company inspection ordered by BSEC and directed by CRO

Monitoring of OTC related issues ordered by CRO

Inspection of new Branch Office(s) of TREC Holder Companies

Inspection of Dealer related activities.

Any Other Monitoring.

Submission of various report to the Chief Regulatory Officer for taking necessary

steps

COMPLIANCE:

Key Job Responsibilities of the compliance are: To ensure the compliance of securities related Laws by the TREC holder

companies.

To prepare various compliance report as per order of BSEC.

To regularize the lapses & irregularities of TREC holder companies and services to

the TREC holder companies.

Look after the issues of Compliance of Net Capital Balance by the TREC holder

companies.

Look after the issues of Risk Based Capital Adequacy Ratio by the TREC holder

companies.

Act as a panel member of Interview Board for the applicant of the Authorized

Representatives of the TREC holder companies.

Takes necessary steps to aware the member companies about Money Laundering

issues and the cell makes necessary correspondence with the regulators and

member companies for compliance of the Money Laundering Act, 2012 and Anti

Terrorist Act 2009 by the member companies.

Sends various Circulars and letters to the brokers/dealers on different

orders/directive/notification and other matters of regulators related to capital

market to make them aware about the relevant subjects.

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Visits the listed companies with the Listing Affairs Department to ensure the

compliance of securities related laws.

Fulfills the requirements of Anti-Corruption Commission and submits the details

report as and when required.

Proper Co-ordination with Bangladesh Financial Intelligence Unit, Bangladesh

Bank for updating the Ant-Money Laundering and Combating Financing of

Terrorism and services to the TREC Holder companies regarding the issues.

Fulfills the requirements of Tax-Commission and submits the details report as and

when required.

Reconciles the clients’ payable of the brokerage houses for opening of new branch,

TWS set up, MDS connectivity etc. and prepare report to ensure the financial

viability of the broker and reports to the CRO of DSE.

Submits various reports to the Commission on routine and regular basis like

information on financial netting and loan amount provide by the members on

monthly basis, weekly report based on daily market surveillance, information on

margin loan and investment in dealer account of the members on monthly basis,

monthly Branch summary report of the members, reports on affected investors.

Inspects the new Head Office/branch offices of the brokerage house for

compliance purpose.

Prepares the Compliance Handbook, Compliance Manual for Authorized

Representatives, Lecture sheet & overseeing the Review of Securities related Rules

& Regulations.

Make proper correspondence with the regulator and solicitors.

Attends in different training programs of authorized representative(s) as resource person(s) to make them aware about securities related laws.

Attends in different training programs of investors as resource person to make them knowledge about capital market and general investment guideline.

Attends at Bangladesh Institute of Bank Management (BIBM) and the offices of various Stock Brokers as Resource Person to deliver speech about Securities related Laws, Rules, Regulations etc.

Attends at DSE Training Academy as resource person for conducting various training program.

Enlisted resources person of DSE Training Academy.

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Routine Tasks:

-Make proper correspondence with the CRO, DSE, other departments, DSE (if required) regulator, Govt. agencies, solicitors etc.

Knowledge on

1. Capital Market

2. Financial market & Institutions

3. Investment and portfolio concept

4. Financial Management

5. Companies Act 1994

6. Fundamentals of Finance

7. Securities related Act, Rules and regulations

a. SEC Ordinance, 1969

b. SEC Rules (1987 & Others)

c. SEC (Prohibition of Insider Trading) Rules, 1995

d. Securities & Exchange Commission (Merchant Banker and

Portfolio Manager) Rules, 1996

e. Margin Rules, 1999

f. SEC (Stock dealer, Stock Broker & Authorized Representative)

Rules, 2000

g. Dhaka Stock Exchange(Member’s Margin) Regulations, 2013

h. Securities & Exchange Commission(Mutual Fund) Rules, 2001

i. SEC(Over-the-Counter) Rules, 2001

j. Listing Rules of Dhaka Stock Exchange Limited

k. Short Sale Regulations, 2006

l. Depository(User)Regulations, 2003 and other rules/regulations

m. Dhaka Stock Exchange (Settlement of Transactions)

Regulations, 2013 ( Clearing and Settlement System)

n. General rules, regulations and byelaws for ready delivery

Contract of Dhaka Stock Exchange Ltd.

o. Directives & Notifications of Regulator.

p. CDBL Bye-Laws

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q. Money Laundering Act, 2012 and Anti Terrorism Act, 2009 (with Amendment of 2013).

: Educational Details: 1. Masters of Business Administration (MBA) in Finance & Banking Institution –University of Chittagong (Govt. leading University) Year-2001

CGPA-3.73 on 4.00 Scale

2. Bachelor of Business Administration (BBA) in Finance and Banking Institution - University of Chittagong Year-2000 1st Class with 7th place

3. Higher Secondary School Certificate (HSC) Group – CommerceYear- 1996Division –1st Division,Institution – Comilla Victoria Govt. CollegeBoard-Comilla

4. Secondary School Certificate (SSC) Group – Social Science Year-1994 Division –1st Division,

Institution – Comilla Zilla School Board: Comilla

: Skill:

Language Proficiency: English and Bengali (Writing, Reading and spoken)C omputer Skill: Office Software:MS Word, MS Excel, MS Power Point, E-mail, Internet Browsing.

Professional Course/Activities{ a. I have completed a short course on Derivatives, Derivatives Market and its Application,

which held at Training Academy of DSE.

b. Attended an International workshop on Trading Strategies in Derivatives, held at DSE

Training Academy

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c. I have completed five (5) days long course on International Executive Course for

Exchange Managers and Compliance Officers, held at Islamabad, Pakistan.

d. Attended a workshop on “Capacity Building Program on Corporate Governance” for the

Senior Official of Regulatory Bodies of Bangladesh, held at Bangladesh Enterprise Institute,

Dhaka.

e. Attended a Seminar on “Global Financial Crisis and Bangladesh” held at Citi Bank, N.A.,

Motijheel Dhaka.

f. Completed Practical Training on MSA-Plus (Trading Software of Dhaka Stock Exchange

Limited) held at Cambridge Solutions Ltd., Chennai, India.

g. Completed two days training course on “Effective Supervision of Market Intermediaries”

held at BICM conducted by SEC under Asian Development Bank.

h. Attended three days long workshop on “Strengthening the AML/CFT Regulation of the

Securities Market” arranged by Central Bank of Bangladesh and Australian

Transaction and reporting Analysis Centre(AUSTRAC).

i. Attended one day long workshop on GUIDELINES ON AML/CFT RISK ASSESSMENT

at Bangladesh Bank.

j. I have completed 15 days course on Capital Raising and investment in Primary

Market, held at Bangladesh Institute of Capital Market, Dhaka.

k. I was one of the members of the Exchange Demutualization Implementation Committee,

l. I am an Executive Member of Clearing and Settlement system of Dhaka Stock

Exchange Limited.

Extra-curriculum Activities

1. I have been performing as a resource person of DSE Training Academy, Dhaka Stock Exchange Limited on securities related laws and capital market (please visit at http://www.dsebd.org/Training_Academy_2.b.php?page=4 ).

2. I have been performing as resource person of Bangladesh Institute of Bank Management (BIBM) on securities related laws.

3. I have been performing as resource person of various brokerage houses on securities related laws and capital market.

4. I have been performing as a part time Lecturer on Financial Market and Institutions in International Islamic University Chittagong, Dhaka Campus.

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Extra-Ordinary Qualifications

1. My academic qualifications and experience have fulfilled the eligibility of Investors Advisory Service (Investment Analyst) as per proposed Investment Advisory Service Rules of Bangladesh.

2. I have completed a Diploma Course (one year course) in CRISL Certified Financial Analyst Program focus on portfolio management under Credit Rating Information and Services Limited.

3. I have been pursuing a Diploma Course (one year course) in Capital Market at Bangladesh Institute of Capital Market.

4. I have completed LLB under National University, Bangladesh.

5. I am a Management Level student of Chartered Institute of Management Accountants.

Personal Information

1. Applicant Name : Saied Mahmud Zubayer

2. Father’s name : Md. Saied Khan

3. Mother’s Name : Mrs. Anowara Begum

4. Current Salary : USD 1250 (BDT 98,000.00) per month

5. Notice Period : One Month

6. Nationality : Bangladeshi by Birth

7. Date of Birth : 01/03/1977

8. Marital Status : Married

9. Religion : Islam

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References

01. Professor Dr. Swapan Kumar Bala, FCMA 02. A.K. M Ziaul Hasan Khan, FCAManaging Director Chief Regulatory OfficerDhaka Stock Exchange Limited Dhaka Stock Exchange Limited9/F, Motijheel C/A, Dhaka-1000. 9/F, Motijheel C/A, Dhaka-1000.PABX- +8802-9564601 Ext-108 PABX-+8802-9564601, Ext. 291Cell: +88-01755644443

Certification:

I hereby consciously ascertain that all the particulars mentioned above are true. I myself will be liable for any misinformation mentioned herewith.

Saied Mahmud Zubayer

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