Compliance Management

Compliance Framework – Identification of applicable laws, rules, regulations; Risk Assessment; Responsibility center mapping/ allocation; Escalation & reporting; Creation of Compliance framework and reporting system; Review &Updation; Training  & Implementation.

Compliances:

• Entity wise: Public, Private, Listed, Government, Small Companies, OPC, Section 8 Company, LLP – Annual and Event based compliances.
• Activity wise: Compliances related to specific activities undertaken.
• Sector wise: Service Sector, Manufacturing, Trading, E-commerce, Mining, Infrastructure.
• Industry Specific: Compliances with Industry Specific Laws applicable to the company such as Tourism, Pharmaceutical, FMCG, Hospitality, Information Technology etc.
• e) State and Local applicable laws

Documentation & maintenance of records: Electronic versus Physical repository; General principles of good documentation, coding, storage, preservation, safety & retrieval; Privacy & Control.

• Search and Status Report :Type of Searches, Purpose and Objective of Search Reports, Search under Companies Act, IPR Laws, Property Title Search, Compilation & verification of data published by MCA 21, SEBI, RBI, Stock Exchanges, other regulators/ authorities (national/international), Web-sites and other sources.
• KYC: Carrying out KYC with respect to directors, promoters and client, Compliance with the applicable ICSI Guidelines.

• Signing and Certification :Various Certification(s) by Company Secretary in practice; Pre-certification of Forms; Signing &certification of Annual Return; Corporate Governance Certification; Obligations and Penal provisions.
• Segment-wise Role of Company Secretaries :Knowledge about the segment(s) in which the company is operating, Industry trends and national and international developments. Segment-wise Compliances.