Vinay Rokadia

Compliance Officer

Vinay sits at the intersection of operations and compliance—and keeps both running like clockwork. He previously handled the compliance and daytoday operations of our earlier, far more complex broking business, giving him a practitioner’s view of how rules meet realworld execution. At Whitestone PMS, he designs and runs the operating framework endtoend, tracks every new SEBI/exchange/depository circular, and ensures we stay proactively compliant rather than reactively corrected.

He coordinates with our bankers and custodian, oversees trade confirmations and settlements, and maintains the policy stack so governance and transparency are builtin, not boltedon. In short: the right controls, the right filings, on time—every time.

Focus: SEBI PMS regulations • Exchange & depository circular tracking • AML/KYC & onboarding • Audit & inspections • Policy design (stewardship, voting, conflicts, best execution) • Bank/Custodian coordination & smooth trade settlement.

Snapshot: 25+ years across operations & compliance • ISJ (Broking) operations & compliance lead (from 2000) • Whitestone PMS operations & compliance (since 2010) • Former Principal Officer (Jan 2023) • PGDBM (Finance), Som Lalit Institute • B.E., Sardar Patel University