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Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
Corporate Complience Management : A Risk Management
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Corporate Complience Management : A Risk Management

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  • 1. A RISK MANAGEMENT & RISK MINIMIZATION PACKAGE A Venture of ……. www.ccmonline.in Compliance Corporate Management
  • 2.
    • Companies are governed by complex WEB OF LAWS ,
    • Regulations, Voluntary Codes, Industry Codes and Corporate Policies
    CCM for Today’s Scenario,
  • 3. Corporate Governance in System
    • Clause 49 of Listing Agreement :
    • “ The Board shall periodically review compliance reports of all laws applicable to the company , prepared by the company as well as steps taken by the company to rectify instances of non-compliances.”
  • 4.
    • COMPLIANCE is about protecting an organization’s License To Operate – lack of which introduces a substantial Financial and Operational risk to an organisation
    Compliance is……. COMPLIANCE MEANS OBEYING THE LAW
  • 5.
    • HOW
    • CCM TOOL
    • WILL HELP???
  • 6. Regulatory Acts CCM Companies Act MRTP Act (Competition Act) Industry Specific Law [Brokers Rules & Regulations ] FEMA SCRA SEBI Act Labour and Industrial Laws
  • 7. We usually Confront with these?? I don’t know which laws are applicable How to make compliances on time? I am bored of Stereotyped Compliance system
  • 8.
    • can
    • Add Value to
    • Your Organisation ????
    HOW
  • 9. Can Add Value……..By
    • Use of Compliance Tools, Checklist to identify & Manage Conformance Requirements .
    • Identification of the Non- Conformance which needs Remedial Action.
    • Defining, Tracking and Implementing Corrective Actions to address non conformance.
    • U se of Control Techniques
    • Providing Visibility into the entire process through Reporting and Dashboards .
  • 10.
    • Benefits
    • of
    • Compliance Management
  • 11.
    • Lay the foundation for controlled environment
    • Avoid stiff penalties
    • Enjoy Healthy Returns
    Companies that go extra mile with their compliance programs
  • 12.
    • And Therefore,
    • We had
    • Effective Compliance Program
  • 13. Elements of Effective Compliance Program
    • Customization of …..
    LAWS RULES Regulations Circulars/ Notifications ECP At One Place
  • 14. THE FOUR STEP PROCESS STEP II : IDENTIFICATION PROCESS STEP III : QUESTIONNAIRE STEP I : CORPORATE JANAMPATRI STEP IV : EVALUATION PROCESS
  • 15.
    • CORPORATE JANAMPATRI
    STEP I Understanding the Company
  • 16.
    • Company’s History & Background
    • Business Set up
    • Board of Directors
    • Capital Structure & Evolution
    • Management & Administration buildup
    • Financial & Debt Structure
  • 17. STEP II
    • IDENTIFICATION PROCESS
    • Laws Identified on the basis of Company’s basic info
  • 18.
    • General application of laws
    • Sectoral applications
    • Industry / Segment applications
    • Geographical applications
    • Number of Employees
    • Transaction applications
    Applicable laws
  • 19. Identification of applicable laws
    • General Laws
    • Companies Act, 1956
    • Income Tax Act, 1961
    • Area Specific
    • Shops & Establishment Acts
    • Stamp Act
    • Industry Specific
    • SEBI (Stock Brokers & Sub Brokers) Regulations
    • NSE/BSE Bye Laws
    • International Transaction
    • FEMA , 1999
    • No of Employees
    • Payment of Wages Act, 1936
    • Contract Labour (regulation & abolition) act, 1970
    Securities Laws Listing Agreement DIP Guidelines
  • 20. STEP III
    • QUESTIONNAIRE
    • For event based laws
  • 21.
    • As for instance:
    • A Company has its operations of exports which further Involve lots of foreign exchange transactions.
  • 22. STEP IV
    • EVALUATION
    • PROCESS
    • Event based Laws
  • 23. Evaluation: Preparation at home Evaluating the applicable laws after due identification process Identification: FEMA, 1999 Evaluation : FEM ( Exports of goods & services) Regulations, 1999
  • 24. Exhaustive Check-list with compliance calendar for all applicable laws under four heads:
      • Registration & Licensing Requirements;
      • Regular Compliances;
      • Event based Compliances; and
      • Requirements of Maintenance of Registers & Records;
  • 25. Compliance Timings: Evaluation Compliance Timings Fixed / Regular Event Based
  • 26. Industry specific compliances
    • Special for Broking Companies
    • Customization of Package keeping in view the Industry in which the company is working e.g. Broking Company
    • Inclusion of Specific Checklist to be considered
      • Daily – Margin requirement; Issuance of Contract Notes
      • Monthly, Quarterly, Yearly Returns
      • Event based- client Account opening
    • Tracking of unintentional non-compliances on daily basis and suggestive remedial actions;
  • 27. Still Worried
  • 28.
    • How To Keep Records of large no. of Compliances?
    • How to Remember about the Compliance dates numerous laws?
    • Whether any other Law is applicable?
    • What will be the Consequences ?
    • What Recourse is available to me?
  • 29.
    • Solution for rest of your problems
    • “ PRODUCTS”
    • of
    • CCM TOOL
    • www.ccmonline.in
    • A 100%secured web-based solution
  • 30. Compliance Checklist
  • 31. Compliance Scheduler File Form1
  • 32. Timely Alerts and Reminders
        • M ails &
        • M essages
    Reminders File form ITR 6 under Income Tax Act on or before 31st October
  • 33. Reminders
  • 34. Forms Library Download
  • 35. Compliance Report
    • REAL-TIME BASIS
    • Pending Non
    • Compliances Compliances
    &
  • 36. Compliance Report
  • 37. Compliance Health Check
    • Compliance Statistics
    • P ie Charts
    • B ar Diagrams
  • 38. Compliance Statistics
  • 39. Risk Analysis High Risk Moderate Risk Low Risk Penalty Risk Classification Significance Type Probability I year prosecution High Urgent Medium Fine of Rs. 1,000 Low Avoid Low
  • 40. Risk Reporting
  • 41. Online Support
    • Query Box
    • Get an Opinion
    • Interpretation of Applicable Laws
  • 42. Query Box
  • 43. Opinion Box
  • 44. Striking Feature of www.ccmonline.in
    • Coverage of more than 200 Act, Rules, Regulations, Guidelines, Circulars & Notifications effecting the compliance requirement of a Company
    • Covers all Industry Specific & Location based laws
    • Real Time updation by Expert Professionals located all over India
    • Customization of Checklist according to the applicable laws to your Company
  • 45. Feature of www.ccmonline.in …Cont.
    • Rights/option to create a complete system of compliance managemen t
      • Creation of Different Users to comply with different laws
      • Fixation of dead lines for compliance by each user
    • Creation of Three Tier Hierarchy for compliance Reporting System
    • Alerts at different levels as the last date of compliance comes closure
    • Alerts & Reminders by way of mails & messages
  • 46. Feature of www.ccmonline.in …Cont.
    • Online support in the form of Query Box
    • Facility of getting Opinion on any of the Topic of Compliance from Eminent Professionals of the field on our panel
    • Discussion Forum & Archive of Topic-wise Discussions
    • Library of Forms of all laws covered
  • 47. Feature of www.ccmonline.in …Cont.
    • Reporting of Compliance & Non-Compliance
      • On Real-time Basis
      • On Quarterly Basis
      • Archive of Quarterly Compliance Reports
    • Risk Assessment of Non-Compliances
      • Reporting of Consequences segregated in High, Medium & Low financial & Other Risks
  • 48.
    • M aximize the value of Company’s compliance efforts to shorten cycle times,
    • R educe cost,
    • I mprove overall business performance.
    Risk and Rewards of Compliance
  • 49.
    • Forward-thinking companies understand that it is an opportunity to enable truly
    • improved business efficiency
    Turning Obligation into Opportunity
  • 50.
    • A Solution for Today and Beyond……
    C orporate C ompliance M anagement
  • 51. Corporate Professionals (India) Pvt. Ltd. D-28, South Extn. Part-I, New Delhi 110049 Tel: +91.11.40622200, Fax: +91.11.40622201 Kavita: 9818587794; Manoj: 9910688433 Email: [email_address] Visit us at: www.corporateprofessionals.com For further information Please contact… Thanks a lot…

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