Regulatory Compliance Management India

Tightening compliance needs and improvising enforcement structure being put in place by regulators around the globe have highlighted the need to have a structured process for the Regulatory compliance management.

AdWISE Assure help companies worldwide to spot, identify and address legal and regulatory compliance requirements and employ a compliance management process for effective oversight.

With the onset of the Companies Act, 2013 and SEBI Listing Regulations, the real significance and importance of a robust compliance framework has been re-emphasized. It has also laid and increased responsibility on Key Managerial Personnel and Board of Directors to invent a proper system for ensuring compliance within the provisions of all applicable laws.

Key challenges and Problems Lists

  1. Numerous legislations and regulators – Unrecognizance of law and compliances
  2. Tracking trailing of regulatory changes
  3. Fragile primary  underlying controls (Policies / SOP)
  4. Fragmented, uneven  and poor reporting
  5. Shortage or lack of Data Centralization
  6. Unproductive Segregation of Roles and Responsibilities
  7. Bigger risk of non-compliances
  8. Monitoring and examining of compliance due-dates

How do AdWISE Assure help?

AdWISE Assure aids companies around the globe in marking, identifying and addressing legal and regulatory compliance requirements and employing a compliance management process for successful oversight.

Our remarkable services include:

  1. Compliance with Companies Act and Clause 49 –
    • Identifying and addressing legal and regulatory compliance requirements relevant to business activities
    • Designing and implementing a compliance management policy and organizing an effective oversight along with reporting of critical non-compliances.
    • Conducting training programs on effective processes and practices for compliance and other related activities
    • Assisting in implementation of risk and compliance platforms
  2. Compliance with ‘Risk Based Supervision’ (RBS) expectations –
    • Giving assistance in addressing of risk based supervision needs.
    • Developing and organising of validation rules for regulatory reporting
  3. Regulatory assessment services for transaction banking products –
    • Assessment of regulations and market landscape for business and transaction banking offerings to Corporate companies.
  4. Assistance with Automated Data Flow (ADF) –
    • Developing business requirements for regulatory reporting together with requirements under ‘Risk Based Supervision.
  5. Solvency II services –
    • Develop and characterize a fully integrated and standardized risk process and methodology athwart the entire organisation.
    • Improvisation on integrated governance and risk management across various business units
    • Identification of companies potential for reduced capital.
  6. BASEL II/ III services –
    • Studying the impact of Basel regulations on Companies capital and profitability
    • Providing assistance in designing the Basel II program that include governance, policies, processes, models, technology, training and other change managements.
    • Aiding with application to regulators.
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