Compliance Policy for lumiotech ("the Company")

Last Updated: December 5, 2024

The Company is committed to maintaining high standards of integrity and ethical conduct in all its business activities. We believe that compliance isn't just about following rules – it's about creating a culture of responsibility and accountability.

1. Regulatory Framework

Our platform operates in compliance with:

• Companies Act, 2013
• Information Technology Act, 2000
• Securities Contracts (Regulation) Act, 1956
• SEBI Guidelines (as applicable)
• Reserve Bank of India regulations

2. Share Management Compliance

2.1 Share Transfers

All share transfers processed through our platform must comply with:

• Section 56 of the Companies Act, 2013
• Company's Articles of Association
• Shareholders' Agreement
• Board-approved transfer procedures

2.2 Record Keeping

We maintain records as required by:

• Section 88 (Register of Members)
• Section 92 (Annual Returns)
• Section 170 (Register of Directors and KMP)
• Other applicable provisions

3. Digital Compliance

Our digital infrastructure complies with:

• IT Act Security Guidelines
• Digital Signature requirements
• Electronic Records maintenance standards
• Cyber Security Guidelines

4. User Obligations

Platform users are required to:

• Maintain accuracy of information
• Follow prescribed procedures
• Obtain necessary approvals
• Maintain confidentiality
• Report compliance issues

5. Corporate Governance

5.1 Board Oversight

The platform facilitates:

• Board resolution management
• Director identification compliance
• Corporate action documentation
• Regulatory filing tracking

5.2 Shareholder Rights

We ensure protection of:

• Voting rights
• Pre-emptive rights
• Information rights
• Transfer rights

6. Audit and Monitoring

Our compliance monitoring includes:

• Regular internal audits
• External compliance reviews
• System security assessments
• User activity monitoring
• Regulatory update tracking

7. Reporting and Disclosure

We maintain transparency through:

• Regular compliance reports
• Statutory filings
• User notifications
• Regulatory disclosures

8. Risk Management

Our risk management framework covers:

• Operational risks
• Legal and regulatory risks
• Technology risks
• Data security risks

9. Non-Compliance

Consequences of non-compliance may include:

• Service suspension
• Account termination
• Legal action
• Regulatory reporting

10. Updates and Changes

We reserve the right to update this policy to:

• Reflect regulatory changes
• Improve compliance measures
• Address new requirements
• Enhance user protection

11. Contact Information

For compliance-related questions or reporting: