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Legal Risk Advisory Services

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With increasing regulations, balancing compliance with competitiveness is a major challenge for corporations, which necessitates the need for organisations understand the regulatory/legal risks that …

With increasing regulations, balancing compliance with competitiveness is a major challenge for corporations, which necessitates the need for organisations understand the regulatory/legal risks that stems from the applicable laws, regulations and codes of conduct they must comply with in order to maintain ethical & fair business practices while dealing with clients in a global multi-cultural environment.

We at Riskpro are geared to assist organisations become compliant and transparent in addressing the challenges of this dynamic regulatory environment where our legal risk management specialists add value by strategically integrating legal compliance into daily business. We’re pleased to launch our Legal Risk Advisory services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network. “We are quoted in recent Economic Times news as among fastest growing risk consulting firms in India.”


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  • 1. Legal Risk Consulting & Advisory Services Riskpro India Ventures (P) Limited New Delhi, Mumbai, Bangalore 1
  • 2. Who is Riskpro… Why us? ABOUT US MISSION Riskpro is an organisation of member firms around India devoted to client service  Provide integrated risk management excellence. Member firms offer wide range consulting services to mid-large sized of services in the field of risk management. corporate /financial institutions in India Currently it has offices in three major cities  Be the preferred service provider for Mumbai, Delhi and Bangalore and alliances complete Governance, Risk and Compliance in other cities. (GRC) solutions. Managed by experienced professionals with experiences spanning various industries. VALUE PROPOSITION DIFFERENTIATORS You get quality advisory, normally delivered by large consulting firms, at fee levels  Risk Management is our main focus charged by independent & small firms  Over 200 years of cumulative experience High quality deliverables  Hybrid Delivery model Multi-skilled & multi-disciplined organisation.  Ability to take on large and complex projects Timely completion of any task due to delivery capabilities Affordable alternative to large firms  We Hold hands, not shake hands. 2
  • 3. RiskPro Highlights Large talent pool of risk experts, consultants and associate partners in India with deep domain skills for domestic and global clients 11 service locations across Indian region with key offices in New Delhi, Mumbai and Bangalore Deep expertise in consulting with over 200 years of cumulative consulting experience Operating Groups: Risk-Advisory, Consulting, Training & HCMS Service Lines : Credit, Operational, Fraud Risks, ERM, Regulatory Compliance, Outsourcing Management, Corporate governance We are fastest growing risk consulting company and have realistic plans to capture coming opportunities while competing with Big - 4’s for superior, unmatched, low cost services to our clients 3
  • 4. Risk Management Advisory Services Basel II/III Advisory Corporate Risks IT Risk Advisory  Market Risk  Enterprise Risk Assessment  IS Audit  Credit Risk  Fraud Risk  Information Security  Operational Risk  Risk based Internal Audit  IT Assurance   Operations Risk  IT GovernanceSERVICES ICAAP  Forensic services Legal Risks  Procedural Risk Operational Risk Governance  Registration & Licensing Risk  Process reviews  Corporate Governance  Taxation Risk  Policy/ Process Review  Business Strategic risk  Contractual Risk  Process Improvement  Fraud Risk  Compliance Risk  Compliance Risk  Forensic Accounting  IPR Infringement Risk  Insurance Risk  Litigation Risk Training Recruitment  Banking – E Learning  Corporate Training  Virtual Risk Managers  Regular Risk Management Training  Full Time Risk Professionals  Online Training material  Part time Risk Professionals  Workshops / Events  Risk Managers on call – free  ISO standards- 31000 4
  • 5. Riskpro’s Network Presence New Delhi Agra Ahmedabad Kolkata Mumbai Pune Hyderabad Bangalore Salem 5
  • 6. Legal Risk - Prologue Legal risk refers to risk from uncertainty due to legal actions or uncertainty in the applicability or interpretation of contracts, laws or regulations. Legal risk can be a particular problem for institutions who transact business across borders with exposure to uncertainty relating to the laws of multiple jurisdictions, but also ambiguity as to which jurisdiction will have authority over any particular legal issue (as applicable). Legal risk in a common-law system might arise out of almost any aspect of international or national public, private or formal law. The source of the legal risk could be any aspect of the law applicable to a institution. Its the risk associated with the impact of a defect in the documentation on cash flow or debt service within financial services rendered. Legal risk is a form of enterprise risk in which a organization is exposed to legal action where the offence can be either civil i.e. compliance defaults, breach of contract etc or criminal i.e. cheating, breach of trust, deceit etc. 6
  • 7. Understanding Legal Risks ~ Non Compliances - Business Impact Compliance Areas Risks of Non-Compliance Direct Tax Compliance • Imposition of penalty • Prosecution of directors Indirect Tax Compliance • Cancellation of licenses • Withdrawal of tax benefits • Stoppage of operations Labour law Compliance • Imposition of penalty • Prosecution of directors/occupier • Employee dissatisfaction Environment, Health & Safety laws • Stoppage of operations • Imposition of penalty Corporate Law Compliance • Imposition of penalty • Vacation /Prosecution of directors/senior management Legal Risk Management Services Overview Expertise of Indian Legal Structuring & Negotiation & Government Approvals laws and Regulation Advisory Documentation & Liaisoning 7
  • 8. Legal Risk Advisory Services Our Services Completion: Structuring: Determine the tax efficient & legal compliant structure for grants and funds Board & Shareholder Resolutions Market Entry Strategy Statutory filings Instruments for the implementation of the agreed Monitoring Compliance with Agreements terms Due Diligence: Documentation: Investor’s Perspective Term Sheet Risk Assessment Agreements Legal& commercial affairs of the company Legal Advisory and Opinion 8
  • 9. Compliance Management Services Our Services Understanding Legal Landscape Diagnostic of existing Mapping Compliance Responsibility compliance management system Detailed compliance Assistance in reviews including setting up of review for sector statutory specific laws compliance framework 9
  • 10. Legal Services- Business Continuum Our Services Corporate & Commercial Real Estate & Infrastructure Employment & Labour Litigation, including arbitration & mediation Tax & Consulting Industry sector experience spanning across : IT, ITES, Bio-tech, Power, Water, Retail Trade, Infrastructure, Intellectual Property Mining, Aviation, Tourism, Insurance, Telecom, Media & Entertainment Specialized Audit Services 10
  • 11. Corporate & Commercial Foreign Investment in India / Abroad Drafting and vetting of Joint Venture Agreements, Corporate Agreements, Management Agreement, Cross border transaction agreements Mergers & Acquisitions including Corporate Due Diligence Banking & Project Finance Capital Market / ADR/GDR/ IPO Competition & Fair Trade Practice Corporate Governance Corporate Restructure Venture Fund, Mutual Fund, RE Trust Funds 11
  • 12. Employment & Labour Appointment/Offer letters Termination practices Employee Stock Option Plan Employee Handbook Labour Compliances Standing Orders & Service Rules Migration & Emigration of Employees Country specific employment relation 12
  • 13. Real Estate & Infrastructure Title Search & Property transactions Joint ventures in Real Estate Development of townships Build to suit campuses Development of Infrastructure Projects- Energy, Ports, Roads etc. Development of technology parks Sale deeds Lease, Leave and License Agreements Gift deeds 13
  • 14. Litigation & Arbitration Commercial Litigation Recovery/Enforcement Civil Litigation IP Litigation Arbitration Bankruptcy/Insolvency Criminal Litigation 14
  • 15. Intellectual Property  IP Portfolio Management  IP Auditing  IP Strategic Alliances  Collaboration  Licensing  Technology Transfer Agreements  Search, drafting, filing and prosecution in :  Patents  Trademarks  Copyrights  Industrial Designs 15
  • 16. Tax & Consulting Company Secretarial Services: - Incorporation of companies/branches/liaison office/representative office - Maintenance of Secretarial Record and recurring secretarial services - Registration with Statutory Authorities including EoU, STPI, Custom Bonding, Central Excise etc Accounting & Payroll Services Tax and Regulatory Services Advising on Customs & Excise matters Immigration Services 16
  • 17. Our CommitmentValue  One stop legal boutique where assignments carried out at a fraction of the cost of clients staff  Reduce client staff management time and overhead costs, and increase clients profitability  Enable clients staff to concentrate on more interesting and value-added workService  Robust management and procedures to ensure delivery on time and on budget  Dedicated one-to-one communication with client, to ensure every project is right first time  Full service delivery is achieved by synergies of subject matter expertise of our in-house Lawyers, Chartered Accountants, Company Secretaries and Tax ConsultantsQuality  Two-level file review and signoff by senior Lawyers, even for the smallest assignment 17
  • 18. Our Core Strengths Dedicated team of legal professionals with strong deal exposure and knowledge of regulations of various sectors. Proactive and structured approach Well defined processes Well defined Project methodology tailored to suit the needs of clients for service delivery Talented team with experience of working with some of the largest companies in India exposure to leading cross border transactions in India Experience & proven capabilities to handle Diversified Multi-national Clients i.e. BFS, Information Technology, Energy, Manufacturing, Consultancy, Oil & Gas Sector, Retail Trading, Hospitality, Restaurant and related sectors. Competitive advantage of costing by virtue of expertise and experienced resources. 18
  • 19. Riskpro Clients Our Clients*Any trademarks or logos used throughout this presentation are the property of their respective owners 19
  • 20. Team Experiences Our Experiences Our team members have worked at world class Companies*Any trademarks or logos used throughout this presentation are the property of their respective owners 20
  • 21. Team Experiences- Legal Risk Advisory Our Experiences Our team members have worked for world class Companies*Any trademarks or logos used throughout this presentation are the property of their respective owners 21
  • 22. RESUMES – Our Team Credentials  Co-Founder - Riskpro  CA, CPA, MBA-Finance (USA), FRM (GARP) Manoj Jain  Over 10 years international experience – 6 years in Bahrain and 4 years USA  15 years exp in risk management consulting and internal audits, Specialization in Operational Risk, Basel II, Sox and Control design  Worked for Ernst & Young (Bahrain), Arab Investment Company (Bahrain), Navigant Consulting(USA), Kotak Mahindra Bank (India) and Credit Suisse(India)  Sox Compliance project for Fannie Mae, USA ( $900+ Billion Mortgage Company)  Co- Founder - Riskpro  CA (India), MBA (Netherlands), CIA (USA) Rahul Bhan  Over 15 years of extensive internal and external audit experience in India and abroad.  Worked with KPMG United Arab Emirates, PKF South Africa, Ernst and Young Kuwait, Deloitte Netherlands and KPMG India.  Worked with clients in a wide variety of industries and countries including trading, retail and consumer goods, NGO, manufacturing and banking and finance. Major clients include banks, investment companies, manufacturing organizations, aviation etc. 22
  • 23. RESUMES - Our Team Credentials  Co-Founder - Riskpro Casper Abraham  PGD (Electrical & Electronics & Computer Programming)  30 years of experience in Information & Communications Technology (ICT) Solutions for Retail, Garments, Manufacturing, Services Industries.  Has created Companies, Divisions, Products, Brands, Teams & Markets.  Consulting in Business, Technology, Marketing & Sales & Strategic Planning.  Advisory, Training, Workshops & Implementation in Systems Thinking, Systems Modeling & Balanced Scorecard  Worked with TIFR, Mahindra, Ambience, Communico-Graphique & Ionidea Inc, USA,  Sr Vice President – Risk Management MBA, PDFM,NSE-NCFM, PMP, CSSGB,ISO 9001:2000 I.A,GARP-FBR, ITILV3,CPP-BPM Hemant Seigell   Professional with 17 years of rich experience into diverse Consumer finance/ Lending operations ,Risk Management,BPMS, Consumer Banking, NBFC, Management Consulting & Housing finance in BFSI industry having successfully led key business strategic engagements across multi-product environment in APAC, Australia and US regions.  Worked with GE, ABN AMRO Bank, Citigroup, Accenture, Deutsche Postbank  Highly skilled and expert Trainer in Risk areas across Credit, Fraud, Operational, Corporate Risk management.  Specializes in Fraud Control, AML/KYC Compliance ,QA ,ERM and Regulatory governance. 23
  • 24. RESUMES - Our team Credentials  Head - Insurance Risk Advisory services  B.sc, Associate of Indian Institute of Insurance Licensed Category A Insurance surveyor R. Gupta   26 years of experience in Insurance advisory services, Loss adjusting for large corporates,Claims management.  Has assessed more than 4500 high value insurance claims across various industry sectors.  Risk management inspection  Valuations of fixed assets for insurance purpose.  Head - Human Capital Management Nilesh Bhatia  Chartered Accountant, Lead Assessor ISO 9000, Six Sigma Trained, Trained on Situational Leadership, Trained on interviewing skills and Whole Message Model.  Over two decades of international, multi-cultural experience in finance and human resources viz. internal audit, accounting operations, accounting process review & re-designing, risk management, business solutioning, six sigma projects, talent acquisition, talent retention, organization design/redesigning, compensation and appraisal processing, employee and customer satisfaction surveys, knowledge management and finance services.  Worked with Citicorp/MGF, India Glycol, Delphi, American Express India, American Express USA, Fidelity International and Macquarie Global Finance Services India. 24
  • 25. RESUMES - Our team Credentials  Head – Taxation Risk Advisory Rajesh Jhalani  B.Com, FCA  Senior Partner with 48 year old Delhi based Chartered Accountant firm, Mehrotra and Mehrotra  Over 19 years of experience in the field of Audit, Taxation, Company law matters.  Major clients served are NTPC, BHEL, Bank of India, PNB, Airport Authority of India etc. President – Banking & Financial Services  A senior researcher in Applied Mathematics leading to Ph.D after MSc (Mathematics), Sivaramakrishnan CWA, CAIIB  Combined experience of 25+ years in corporate banking, risk management, international trade finance, development of risk rating models, project finance, credit monitoring and NPA management  Since 2006 conducting open / in-house training on the above domains to all Top public/ new and old private sector banks, top MNC banks (India and abroad), leading NBFCs and corporates in manufacturing and financial services space; Worked on IFC (World Bank) funded projects for MSMEs in India and abroad  Worked for Bank of Baroda and ICICI Bank – bestowed Top Performer Award continuously two years during his tenure; widely travelled abroad for business relations, seminars, offering training, investor meetings, NYSE listing and for processes involving establishment of representative Office in USA 25
  • 26. RESUMES - Our team Credentials Executive Vice President – Risk Management ( Banking & Financial Services)  A hands-on banking professional {BSc (Mathematics), CAIIB} with considerable domestic and international experience Kashi Banerjee  An aggregate experience of 24+ years across industry, mainly BFSI in several functional areas including Retail and Commercial Banking, Corporate Lending, team member of the Business Process Re-Engineering project (BPR); conceptualizing and setting up shared services centres for centralized operations for the Bank in India.  Management through ERM framework overseeing all key areas of the business through various Operational Risk tools like KRI / RCSA matrices. Managing of major project implementation of Basel II and Compliance risk framework  Directing, reviewing and advising Board of Directors on various compliance issues and representing the bank to the Central Bank regulatory offices.  Worked for ANZ Grindlays Bank, Standard Chartered, Bahraini Saudi Bank and Dubai Holdings ( subsidiary) Consultant – Information Security & IT Governance Anjay Agarwal  LLB, CA, CISA, CWA, CS, CFE and others  Over 15 years of experience in the field of Audit, Taxation, Investigations.  Specializing in the field of Systems Audit, Cybrex Audit, Computer Crime Investigations, IS Forensics  International Committee Member of Governmental and Regulatory Agencies Board and Academic Relations Committee of ISACA, USA 26
  • 27. RESUMES - Our team Credentials Executive Vice President – Risk Management ( Banking & Financial Services) Vijayan Govindarajan  Professional Risk Manager with considerable domestic and international experience  An aggregate experience of 30 + years across industry, mainly Banking in several functional areas including Wholesale Credit Risk, Operational Risk, Trade Finance , Retail Banking and Islamic Financial Services.  Track record of setting up of excellence in the set-up, and management of credit and operational risk, compliance and credit administration functions in retail, commercial , Islamic Banking and offshore banking entities in the Middle East.  Key strength includes Corporate Credits, Risk Management in IT, implementation of Risk Management module in core banking Bank’s Policies, procedures, Country Risk. Played an active role in 3 core banking software implementations  Worked for a Private Sector Bank in India, ABN AMRO Bank, Bahrain, Bank Muscat Bahrain and BMI Bank Bahrain as AGM Risk Management. 27
  • 28. RESUMES - PARTNERSHIPS  Specialist Risk Consultant – Business ContinuityAndrew Hiles  Founder and 15-year Chairman of Survive, the first international user group for Business Continuity professionals  Founding director and first Fellow of the Business Continuity Institute  Over 25 years international consulting expertise in Risk, Crisis, Emergency, Incident, and Business Continuity and ICT Disaster Recovery Management  Multi-sector experience including Banking, Insurance, Finance, Oil, Gas, Energy, Manufacturing, Retail, Hi-Tech & Telecom  Western Press Award for services to business, 1994; BCI/CIR nomination for lifetime achievement in BC, 1999, London; inducted into BC Hall of Fame by CPM magazine, 2004, Washington DC.  Specialist Risk Consultant – Enterprise Risk ManagementChris E. Mandel  Highly skilled risk and insurance professional with 25 years of experience designing, developing and implementing large, global corporate risk management programs for Fortune 500 firms.  Principal Consultant and Founder - Excellence in Risk Management, LLC. (Texas, USA) Co-founder and EVP, Professional Services, rPM3 Solutions, LLC (Maryland, USA).  Past experiences include Head of Global Risk Management for USAA, PepsiCo/ Tricon Global and American National Red Cross  Additional risk and insurance experience at Verizon Corp,. Marsh USA and Liberty Mutual Insurance Co.  2004 Risk Manager of the Year – 2007 recipient of the Alexander Hamilton Award for “Excellence in ERM” (at USAA) – former President, Risk and Insurance Management Society, Inc. 28
  • 29. RESUMES - Advisors Credentials  Founder partner of Mehrotra and Mehrotra, a 48 year old CA firm in India Mr. MP Mehrorta  B.Com, FCA, LLB  Over 48 years of experience in audits, taxation, legal matters, loan syndication etc.  Trustee of Cochin Port Trust, Member of Task Force for MOUs, Ministry of Heavy Industries & Public Enterprises, Govt. of India, Ex- Member of Central Board of Trustees, Employees’ Provident Fund Organisation (EPFO), Ministry of Labour, Govt. of India, New Delhi.  Ex - Director, Canara Bank  Practicing chartered accountant in Delhi  CA, ICWA Mr. PK Gupta  Over 35 years of professional experience.  Trustee, Kargil Shaheed Smarak Samiti  Hon. Treasurer, World Academy of Spiritual Sciences (WASS).  Panel Arbitrator, International Centre for Alternative Dispute Resolution  Arbitrator, Cement Corporation of India  Arbitrator, Bombay Stock Exchange Limited  Arbitrator, Central Depository Services (India) Limited  Arbitrator’s Panel of Indian Council of Arbitration 29
  • 30. RESUMES - Advisors Credentials  Practicing Corporate Attorney in India Mr. Aashish Srivastava  B.B.A. LL.B. (Hons.)  About half a decade experience in legal services to client’s with respect to Contract and Commercial Laws, Joint Ventures, Inbound & Outbound Investments, Private Equity Investment Transactions, Real Estate & Infrastructure, Energy and General Corporate.  Have advised various social enterprises and start ups in setting up business in India.  Worked for the leading law firms of India such as FoxMandal Little. 30
  • 31. Key Contacts Corporate Mumbai Delhi Bangalore Riskpro India Manoj Jain Rahul Bhan Casper Abraham Ventures (P) Limited Director Director Director M- 98337 67114 M- 99680 05042 M- 98450 61870 manoj.jain@riskpro.in rahul.bhan@riskpro.in casper.abraham@riskpro.in info@riskpro.in www.riskpro.in Sivaramakrishnan Hemant Seigell Vijayan Govindarajan President – Banking & FS SVP – Risk Management EVP – Risk Management C 561, Defence colony M- 98690 19311 M- 99536 97905 M- 99166 63652 New Delhi 110024 smaran.iyer@riskpro.in hemant.seigell@riskpro.in vijayan.govindarajan@riskpro.in Ahmedabad Pune Kolkata Gurgaon Maulik Manakiwala M.L. Jain Kashi Banerjee Nilesh Bhatia Associate Firm Principal – Strategy Risk EVP – Risk Management Head – Human Capital Mgt. M – 98256 40046 M- 98220 11987 M- 98304 75375 M- 98182 93434 mljain@riskpro.in kashi.banerjee@riskpro.in nilesh.bhatia@riskpro.in Gourav Ladha Sap Risk Advisory M- 97129 52955 Salem Ghaziabad Agra Hyderabad Chandrasekeran R Gupta Alok Kumar Agarwal Phanindra Prakash Recruitment franchisee Head – Insurance Risk Associate Firm Associate Firm M – 94435 99132 M- 98101 07387 M- 99971 65253 M- 95500 61616Copyright- © 2012 Riskpro ,India .All rights reserved. 31