Rakesh Kumar Gupta

At RegEdge, we are a team of former Big 4 consulting and industry professionals with experience working with several capital markets firms and leading technology vendors globally. Our team has extensive insights into emerging trends, regulatory expectations and peer practices. We focus on advisory services that help our clients meet regulatory expectations and further strengthen their compliance and operations functions across the entire trade life cycle while creating business value. Below is a sample snapshot of our recent engagements: - Several projects assisting a large Broker Dealer implement the regulatory reporting for Consolidated Audit Trail (CAT), Electronic Bluesheets, 13D/ 13G/13F filings, Rule 605 and 606, Japanese Trade Legal Ticket, Short Sale - Assisting a large Broker Dealer with assessment and testing of controls for US Equity Order Management System (OMS) - Several projects in trade surveillance and communications surveillance assisting with risk assessments, controls coverage, vendor evaluation and solution implementation We also work with wealth managers and asset managers to create value in digital transformation and strategy. Recent engagements include: - Supporting a global firm on RIA and Liquidity management strategy and developing supporting architecture - Supporting digital transformation for enhanced advisor and client experience Please reach out to us if you are looking for a partner across your risk and regulatory compliance, wealth and asset management programs in the US and UK.

• Migrated Euromoney Indices business to IHS Markit focusing on 30+ years of equity data history • Implemented Markit EDM® as the strategic indices data management platform covering Financial Securities (Reference and Static Data), Price Management (Market Data), Corporate Actions, Copp Clark Holidays and Exception Management in an Agile environment. • Understanding and breaking Business use cases into manageable user stories and define the acceptance criteria • Created an IOSCO compliant data management system • Real time data distribution to Index Calculation and Rebalancing Platforms. • Conceptualize and created the archival database for historical data management. • Worked with external data vendors - IDC, Six, Reuters, SNP, EDI, Copp-Clark, Moodys, Fitch

• Designed and developed a commodity index solution - Commodity security and price data ingestion, Index calculation and rebalancing • Created MSCI Indices Common Data Model Transformations for client distribution purposes • Designed and Developed a proof of concept for ETF business stream. • Markit EDM and data management Training for new team members

Worked as Implementation Lead/Business Analyst for TCS BaNCS Custody Solution implementation for Itau Unibanco in Sao Paulo, Brazil.