Corporate Complience Management : A Risk Management

A RISK MANAGEMENT & RISK MINIMIZATION PACKAGE A Venture of ……. www.ccmonline.in Compliance Corporate Management

[object Object],[object Object],CCM for Today’s Scenario,

Corporate Governance in System ,[object Object],[object Object]

[object Object],Compliance is……. COMPLIANCE MEANS OBEYING THE LAW

[object Object],[object Object],[object Object]

Regulatory Acts CCM Companies Act MRTP Act (Competition Act) Industry Specific Law [Brokers Rules & Regulations ] FEMA SCRA SEBI Act Labour and Industrial Laws

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

[object Object],[object Object],[object Object],HOW

Can Add Value……..By ,[object Object],[object Object],[object Object],[object Object],[object Object]

[object Object],[object Object],[object Object],Companies that go extra mile with their compliance programs

Elements of Effective Compliance Program ,[object Object],LAWS RULES Regulations Circulars/ Notifications ECP At One Place

THE FOUR STEP PROCESS STEP II : IDENTIFICATION PROCESS STEP III : QUESTIONNAIRE STEP I : CORPORATE JANAMPATRI STEP IV : EVALUATION PROCESS

[object Object],STEP I Understanding the Company

[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

STEP II ,[object Object],[object Object]

[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Applicable laws

Identification of applicable laws ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Securities Laws Listing Agreement DIP Guidelines

STEP III ,[object Object],[object Object]

[object Object],[object Object]

STEP IV ,[object Object],[object Object],[object Object]

Evaluation: Preparation at home Evaluating the applicable laws after due identification process Identification: FEMA, 1999 Evaluation : FEM ( Exports of goods & services) Regulations, 1999

Exhaustive Check-list with compliance calendar for all applicable laws under four heads: ,[object Object],[object Object],[object Object],[object Object]

Compliance Timings: Evaluation Compliance Timings Fixed / Regular Event Based

Industry specific compliances ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

[object Object],[object Object],[object Object],[object Object],[object Object]

Compliance Scheduler File Form1

Timely Alerts and Reminders ,[object Object],[object Object],Reminders File form ITR 6 under Income Tax Act on or before 31st October

Compliance Report ,[object Object],[object Object],[object Object],&

Compliance Health Check ,[object Object],[object Object],[object Object]

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

Online Support ,[object Object],[object Object],[object Object]

Striking Feature of www.ccmonline.in ,[object Object],[object Object],[object Object],[object Object]

Feature of www.ccmonline.in …Cont. ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

Feature of www.ccmonline.in …Cont. ,[object Object],[object Object],[object Object],[object Object]

[object Object],[object Object],[object Object],Risk and Rewards of Compliance

[object Object],[object Object],Turning Obligation into Opportunity

[object Object],C orporate C ompliance M anagement

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…

Corporate Complience Management : A Risk Management

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Corporate Complience Management : A Risk Management