SlideShare a Scribd company logo
1 of 16
GRC Solutions to manage your business risks
Business Critical Preventive Integrated Technology Driven
Risk Comes from not knowing what you’re doing.
….Warren Bufett…
Compliance - Changing Governance Landscape…
© RSJ Lexsys Pvt Ltd. 2 All Rights Reserved
Companies Act
2013 have brought
in many changes in
contrast with
Companies Act 1956.
The reporting and
responsibility matrix
have not only been
clearly defined, the
penal provisions have
become more
stringent.
Sec 204, Companies Rules 2014 - Secretarial Audit Report mandatory for:
- Every listed company and
- Every public company having paid-up capital of INR 50 Crore or more; or
- Every public company having a turnover of INR 250 Crore or more
Clause 49 (II/D/3) - A Board is to periodically review the compliance
reports of all laws applicable to a company, and prepared by it as well as
the steps taken by it to rectify instances of noncompliance.
Section 134 (5d) - Board of Directors to declare following in Directors’ Report:
- Have devised proper systems to ensure compliance with provisions of all
applicable laws
- Have ensured such systems were adequate and operating effectively
Section 205 (1) - The Company Secretary shall report to Board of Directors,
status of compliances under all applicable laws.
Compliance – Operational Challenges…
© RSJ Lexsys Pvt Ltd. 3 All Rights Reserved
INTERNAL CHALLENGES
• Lack of ownership
• Lack of awareness
• Segmented initiatives
• Process owner changes
• Process changes
LEGISLATIVE CHALLENGES
• Large no. of legislations
• Central & States
• Multiple regulators
• Multiple business locations
• Industry Specific Guidelines
SYSTEM CHALLENGES
• Compliance System not
standardized
• Multiple Compliance
vendors – Act Specific
COMPLIANCE REPORTING
• No Standardization &
Consolidation of
compliance reports.
• Board needs reports in
every AGM & meetings
Why Compliance Management System?
An average organization has to manage ~ 2,500+ Compliance per entity under ~90 Acts.
It’s more than B2B sales leads handled in that year or no. of employees
4
Regulatory Risk Index 2016…
Source: Verisk Maplecroft
81% of respondents agree that compliance will need to
optimize operations in order to manage a more
complex set of risks under tighter resourcing conditions.
2016 Compliance Risk Study
93% Practitioners expected personal liability of
compliance professionals to increase in 2016.
Respondents @ Thomas Reuters New York customer summit
Compliance Management Solution
The need and solution overview
Solution Offerings..
© RSJ Lexsys Pvt Ltd. 6 All Rights Reserved
Integrated Product line – cross leveraging platforms and contents
Enterprise Solutions
LexComply - Corp
Internal Financial
Control System
Litigation
Management System
Professionals & Firms
LexComply - Compact2013
Advisory
Mycorporatedecisions.
com
Registrationsandappro
vals.com
Indiabusinesslaw.com
LexComply - ECB
LexComply - FDI
LexComply - TRAI
LexComply - FSSAI
LexComply - FIRE
LexComply - Pro
GRC Solution Landscape
Know and manage your business risks
State &
Central Acts
285+
Unique
Compliance
12,750+
Corporate
Events
1,000+ 1,500+
Acts Related
Documents
4,600+
Legal Updates
3,000+
Corporate
Clients
60+
Compliance
Executed
14,000+
Compliance
Filing Forms
Legislative Coverage..
© RSJ Lexsys Pvt Ltd. 7 All Rights Reserved
Type of Acts Covered
States Covered
Corporate Trade Laws Labour Regulatory SEBI Environment
Information Tech Intellectual Property Taxation EXIM / FEMA Legal Metrology Health & Welfare
Treasury Property FSSAI RBI FDI ..Many More
Andhra Pradesh Chandigarh Delhi Haryana Karnataka Maharashtra
Punjab Tamil Nadu Telangana Uttar Pradesh West Bengal More Coming..
Low
Mid
High
Display of
Certificate Welfare Do’s
& Dont’s
VAT Monthly
Returns
Register of
Directors
Payment of
service tax
Disposal Of
waste
Registration/
Licensing
Directors
Appointment
PF & ESI
Contribution RBI
Approvals
Impact
Likelihood
Event Based
Ongoing – 54%
Payment of
VAT Payment of
Service Tax
New Product
/ Services
Change
in KMP
Business
Set-Up
Opening
Of Offices
Registers
Deduction
of TDS
Fire and Safety
Display of
Certificates
Likelihood
40%
Date Based
7%
%age of Compliances
Business Criticality Types
Impact of Non-compliance
Monetary 96%
Operational 18%
Imprisonment 70%
Managing the compliance complexities…
Register s for
Electronic Voting
Provident Fund
Submission
© RSJ Lexsys Pvt Ltd. 8 All Rights Reserved
Lights& Ventilation
System Functionalities..
© RSJ Lexsys Pvt Ltd. 9 All Rights Reserved
Product
Features
Content
Manageme
nt
Legislative
Updates &
Monitoring
Real time
monitoring
Accountability
Audit
Manageme
nt
Event
Manageme
nt
- Act Language for all Compliance – Section /
Sub Section, Applicability, Penal Provision, Key
Definitions, Exemptions, Criticalities
- Statutory agency’s details – Name, Website,
Address for filing
- Compliance Filing Forms
- 200+ website surfed, multiple
subscriptions taken to track
legislative updates & changes:
• Updation of Acts and
Compliance in system
• Updates available by dates
and acts
• Updates mailed regularly
- Enables Pre & Post event
compliance planning
- Auto allocate relevant
compliance across organization
- Enables corporate event advisory
– Advice board / management on
compliance obligations from
events
- Create auditor’s role with read
only access to relevant data.
- Allocate auditor’s role by location
and department.
- “Archive” function - Check
definition at the time of
compliance reporting
- Consolidated or task-wise
compliance status
- Reports / Dashboard.
- Role Based Automated reports
for various stakeholders.
- Download data in CSV or Excel
- Compliance matrix & hierarchy for
execution of all compliance tasks.
- Due diligence with system alerts,
notification, and periodic reports.
System Functionalities..
© RSJ Lexsys Pvt Ltd. 10 All Rights Reserved
Document Management
•Maintain repository of all
registrations, approvals, licenses
for unlimited period
•Allows multi proofs uploads
against each compliance
•1 Click search of compliance
proofs uploaded under acts /
compliance
•Allows uploading of past data &
documents.
Reports & Dashboards
•Dashboards with drill down
feature; exportable to PPT.
•Scheduled reports in pre-
defined formats mailed to
relevant stakeholders.
•Ad-hoc Reporting - Exportable
to excel: Group / Company
Wise, Location wise,
Department Wise, Compliance
Status wise, FPR / Approver /
HOD wise, Defined Period, etc.
Escalation & Reminders
•Auto generated reminders &
escalations on system, mails &
SMS – 10, 7, 5, 3, 2,1,0 days
from due date.
•On addition of new compliance
in an act.
•Notifications to relevant
stakeholders in case of date
extension by authority
Compliance Organogram
•Configure unlimited companies.
•FPR – Approver – HOD hierarchy and
responsibility matrix for every compliance.
•Maker-Checker process for compliance closure &
event generation
•Map compliance service provider & contractors
for reporting;
•Bifurcate compliance into further tasks
•Create duplicate compliance in case of multiple
locations or complex responsibility matrix
Compliance Calendar
•Compliance due dates highlighted on the
compliance calendar – Current, Past & Future
months.
•Summary view on complete month
•Drill down from calendar to check, and report
dues compliance.
•Compliance knowhow.
•Event Check Cycle every fortnight
•On-going Compliance reporting on last date of
the month.
Technical Differentiations..
© RSJ Lexsys Pvt Ltd. 11 All Rights Reserved
Security Audits
•Quarterly Audits for Application level Security
Controls by AKS IT Services; areas covered:
•SQL Injection
•Session Management
•Broken Authentication
•Cross Site Scripting
•Malicious File Uploading
•Directory Browsing
•Sensitive Data exposure.
Other Key Functionalities
•User Trainings
•User, admin trainings provided during
implementation and on request.
•Training videos provided for all kind of users
– FPR, Approver, HOD and Admin
•Easy re-allocate compliance – During long
leaves, role changes & attrition.
•Assessment Services - Onsite visits / services
for quality assessment of reported compliance
Easy Implementation
• Relevancy
• Only relevant compliance to
• Relevant stakeholders @
• Relevant time
• Flexibility to chose act wise or
enterprise implementation.
• Easy ramp-up by acts, entity from
admin panel.
• Implementation cycle starts from
1 week.
Roles Definitions
• Super Admin – Defines group level
hierarchy, define admin, Payments,
etc.
• Admin - Allocate acts, events &
compliance, Management user
• FPR – Initiates reporting
• Approver – Approves compliance
• HOD – Monitors FPR & Approver
• Management – Read only access
for reporting & auditing
System Security
• Supporting CIA Security Model –
Confidentiality, Integrity and
availability.
• Daily, Weekly & Monthly backups
are taken
• Application Hosted on Tier IV
Certified Data Centers with all
required safety controls.
• Mobile Enabled Technology
• Technology – PHP & mySQL
System Set-Up Process…
© RSJ Lexsys Pvt Ltd. 12 All Rights Reserved
Application Hosting Environments…
© RSJ Lexsys Pvt Ltd. 13 All Rights Reserved
• Tier IV Certified Data Center
• Hosted in Los Angeles with required safety controls
• Fully managed hardware
• 99.999% uptime SLA – 4 hrs.
• 20X faster load times with SSD
• Partner with Corero to defend against DDos attacks.
• Having 10Gbps switches to change the routing
automatically if any bandwidth goes down.
• 24x7 Security, Video Surveillance, Bio-metric Access
& Uninterrupted Power supply
• Dedicated Server Management team – 24x7x365.
• Managed Hosting
• Reboot less Upgrades
Primary Site
• Tier IV Certified Data Center
• Fully managed hardware
• 99.9% uptime SLA – 4 hrs.
• Backing up content and data on server2
• SSL installed
• Security Scan & Audit (SSA)
• Intrusion Prevention
• 24/7 Security, Video Surveillance, Bio-metric Access
& Uninterrupted Power
• Dedicated Server Management team available
24X7X365.
• Managed Hosting
• Reboot less Upgrades
Disaster Recovery Site
Corporate Overview & Clientele
Corporate Brief..
© RSJ Lexsys Pvt Ltd. 15 All Rights Reserved
Gaurav Jain (Founder)
• Manages innovation, client services
• 14+ years experience as Company Secretary
• Serviced 500+ Corporates for Corporate Law
Compliance, Due Diligence, FIPB, Venture
Capital Fund, JV’s.
The founding members…
Thomas Abraham (Co-Founder)
• Drives strategic initiatives
• 30+ years of experience across FinTech,
Publishing, Telecom & IT
• Worked with global leadership teams as MD
of Wolters Kluwer and Sage
Jyant Kohli (Co-Founder)
• Responsible for expansion & partnerships
• 15+ Years experience across Education, IT, HR
Technology & Compliance Service industries
• An entrepreneur having worked with Indian
& multinational organizations.
Pooja Agarwal (Co-Founder)
• Responsible for content creation & finance
• ICSI, ICAI, IFRS Compliance Professional with
13+ Years of experience
An offshoot of RSJ Professionals, a CS Firm since
2004 servicing 500+ Clients
Incorporated in Feb, 2015
Head Quartered in Delhi
Servicing client in North, West & South
India
In House team of 30+ Technical & Legal
Experts
Strong Partner ecosystem: 10+ partners
60 + corporates across industries changed the
way they manage compliance
Clients & Partners…
© RSJ Lexsys Pvt Ltd. 16 All Rights Reserved
PartnersClients

More Related Content

What's hot

Integrated Compliance – Collect Evidence Once, Certify to Many
Integrated Compliance – Collect Evidence Once, Certify to ManyIntegrated Compliance – Collect Evidence Once, Certify to Many
Integrated Compliance – Collect Evidence Once, Certify to ManyControlCase
 
Vendor Management for PCI DSS, HIPAA, and FFIEC
Vendor Management for PCI DSS, HIPAA, and FFIECVendor Management for PCI DSS, HIPAA, and FFIEC
Vendor Management for PCI DSS, HIPAA, and FFIECControlCase
 
Continuous Compliance Monitoring
Continuous Compliance MonitoringContinuous Compliance Monitoring
Continuous Compliance MonitoringControlCase
 
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIEC
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIECVendor Management for PCI DSS; EI3PA; HIPAA and FFIEC
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIECControlCase
 
Integrated Compliance
Integrated ComplianceIntegrated Compliance
Integrated ComplianceControlCase
 
Compliance Management | Compliance Solutions
Compliance Management | Compliance SolutionsCompliance Management | Compliance Solutions
Compliance Management | Compliance SolutionsCorporater
 
PCI PIN Security & Key Management Compliance
PCI PIN Security & Key Management CompliancePCI PIN Security & Key Management Compliance
PCI PIN Security & Key Management ComplianceControlCase
 
General Data Protection Regulation (GDPR)
General Data Protection Regulation (GDPR) General Data Protection Regulation (GDPR)
General Data Protection Regulation (GDPR) ControlCase
 
PCI DSS and PA DSS Compliance
PCI DSS and PA DSS CompliancePCI DSS and PA DSS Compliance
PCI DSS and PA DSS ComplianceControlCase
 
SOC 2 Compliance and Certification
SOC 2 Compliance and CertificationSOC 2 Compliance and Certification
SOC 2 Compliance and CertificationControlCase
 
Continuous Compliance Monitoring
Continuous Compliance MonitoringContinuous Compliance Monitoring
Continuous Compliance MonitoringControlCase
 
Soc 2 vs iso 27001 certification withh links converted-converted
Soc 2 vs iso 27001 certification withh links converted-convertedSoc 2 vs iso 27001 certification withh links converted-converted
Soc 2 vs iso 27001 certification withh links converted-convertedVISTA InfoSec
 
Sap security compliance tools_PennonSoft
Sap security compliance tools_PennonSoftSap security compliance tools_PennonSoft
Sap security compliance tools_PennonSoftPennonSoft
 
Information System audit
Information System auditInformation System audit
Information System auditPratapchandra
 
Information systems audit and control
Information systems audit and controlInformation systems audit and control
Information systems audit and controlKashif Rana ACCA
 
Information system control and audit
Information system control and auditInformation system control and audit
Information system control and auditAstri Stiawaty
 
Information Assurance for Accountant 2007
Information Assurance for Accountant 2007Information Assurance for Accountant 2007
Information Assurance for Accountant 2007Donald E. Hester
 

What's hot (20)

Integrated Compliance – Collect Evidence Once, Certify to Many
Integrated Compliance – Collect Evidence Once, Certify to ManyIntegrated Compliance – Collect Evidence Once, Certify to Many
Integrated Compliance – Collect Evidence Once, Certify to Many
 
Vendor Management for PCI DSS, HIPAA, and FFIEC
Vendor Management for PCI DSS, HIPAA, and FFIECVendor Management for PCI DSS, HIPAA, and FFIEC
Vendor Management for PCI DSS, HIPAA, and FFIEC
 
Continuous Compliance Monitoring
Continuous Compliance MonitoringContinuous Compliance Monitoring
Continuous Compliance Monitoring
 
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIEC
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIECVendor Management for PCI DSS; EI3PA; HIPAA and FFIEC
Vendor Management for PCI DSS; EI3PA; HIPAA and FFIEC
 
Integrated Compliance
Integrated ComplianceIntegrated Compliance
Integrated Compliance
 
Compliance Management | Compliance Solutions
Compliance Management | Compliance SolutionsCompliance Management | Compliance Solutions
Compliance Management | Compliance Solutions
 
Lawrbit Global Regulatory Intelligence
Lawrbit Global Regulatory IntelligenceLawrbit Global Regulatory Intelligence
Lawrbit Global Regulatory Intelligence
 
PCI PIN Security & Key Management Compliance
PCI PIN Security & Key Management CompliancePCI PIN Security & Key Management Compliance
PCI PIN Security & Key Management Compliance
 
General Data Protection Regulation (GDPR)
General Data Protection Regulation (GDPR) General Data Protection Regulation (GDPR)
General Data Protection Regulation (GDPR)
 
PCI DSS and PA DSS Compliance
PCI DSS and PA DSS CompliancePCI DSS and PA DSS Compliance
PCI DSS and PA DSS Compliance
 
Agiliance Wp Key Steps
Agiliance Wp Key StepsAgiliance Wp Key Steps
Agiliance Wp Key Steps
 
SOC 2 Compliance and Certification
SOC 2 Compliance and CertificationSOC 2 Compliance and Certification
SOC 2 Compliance and Certification
 
Continuous Compliance Monitoring
Continuous Compliance MonitoringContinuous Compliance Monitoring
Continuous Compliance Monitoring
 
Soc 2 vs iso 27001 certification withh links converted-converted
Soc 2 vs iso 27001 certification withh links converted-convertedSoc 2 vs iso 27001 certification withh links converted-converted
Soc 2 vs iso 27001 certification withh links converted-converted
 
Sap security compliance tools_PennonSoft
Sap security compliance tools_PennonSoftSap security compliance tools_PennonSoft
Sap security compliance tools_PennonSoft
 
Information System audit
Information System auditInformation System audit
Information System audit
 
Information systems audit and control
Information systems audit and controlInformation systems audit and control
Information systems audit and control
 
Information system control and audit
Information system control and auditInformation system control and audit
Information system control and audit
 
Iso 9000 iso 9001
Iso 9000 iso 9001Iso 9000 iso 9001
Iso 9000 iso 9001
 
Information Assurance for Accountant 2007
Information Assurance for Accountant 2007Information Assurance for Accountant 2007
Information Assurance for Accountant 2007
 

Similar to Enterprise Governance Risk and Compliance (GRC) Management Solution in India

Lexcomply - Compliance Management Solutions
Lexcomply - Compliance Management SolutionsLexcomply - Compliance Management Solutions
Lexcomply - Compliance Management SolutionsLexComply
 
India’s Most Comprehensive Compliance Management software
India’s Most Comprehensive Compliance Management softwareIndia’s Most Comprehensive Compliance Management software
India’s Most Comprehensive Compliance Management softwareLexComply
 
Lexcomply - Compliance Management System
Lexcomply - Compliance Management SystemLexcomply - Compliance Management System
Lexcomply - Compliance Management SystemLexComply
 
Lombad risk automated regulatory compliance
Lombad risk automated regulatory complianceLombad risk automated regulatory compliance
Lombad risk automated regulatory complianceLombard Risk Management
 
Enterprise Risk Management Solutions
Enterprise Risk Management SolutionsEnterprise Risk Management Solutions
Enterprise Risk Management SolutionsLexComply
 
Lombad Risk Automated Regulatory Compliance
Lombad Risk Automated Regulatory ComplianceLombad Risk Automated Regulatory Compliance
Lombad Risk Automated Regulatory ComplianceLombard Risk Management
 
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcing
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcingIP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcing
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcingJames Hogbin
 
eDelta Trading Platform Marketing-2015
eDelta Trading Platform Marketing-2015eDelta Trading Platform Marketing-2015
eDelta Trading Platform Marketing-2015Frank Castelluccio
 
Corporate Compliance Management
Corporate Compliance ManagementCorporate Compliance Management
Corporate Compliance ManagementLexComply
 
Compliance Management Software
Compliance Management SoftwareCompliance Management Software
Compliance Management SoftwareLexComply
 
Reducing the Risk of Fraud​ through Treasury Technology
Reducing the Risk of Fraud​ through Treasury TechnologyReducing the Risk of Fraud​ through Treasury Technology
Reducing the Risk of Fraud​ through Treasury TechnologyElena Oliveira
 
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...Webinar on Digitising Compliance Management for Greater Control and Lower Pen...
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...TeamLease Regtech Pvt Ltd
 
Control and audit of information System (hendri eka saputra)
Control and audit of information System (hendri eka saputra)Control and audit of information System (hendri eka saputra)
Control and audit of information System (hendri eka saputra)Hendri Eka Saputra
 
SEC Regulation SCI Automation Review Compliance
SEC Regulation SCI Automation Review ComplianceSEC Regulation SCI Automation Review Compliance
SEC Regulation SCI Automation Review ComplianceIosif Itkin
 
How to Choose the Right Compliance Management Software for Your Business.pdf
How to Choose the Right Compliance Management Software for Your Business.pdfHow to Choose the Right Compliance Management Software for Your Business.pdf
How to Choose the Right Compliance Management Software for Your Business.pdfMYND Solution
 
Contract Automation and Compliance Digitization: A Financial Services Company...
Contract Automation and Compliance Digitization: A Financial Services Company...Contract Automation and Compliance Digitization: A Financial Services Company...
Contract Automation and Compliance Digitization: A Financial Services Company...Apttus
 

Similar to Enterprise Governance Risk and Compliance (GRC) Management Solution in India (20)

Lexcomply - Compliance Management Solutions
Lexcomply - Compliance Management SolutionsLexcomply - Compliance Management Solutions
Lexcomply - Compliance Management Solutions
 
India’s Most Comprehensive Compliance Management software
India’s Most Comprehensive Compliance Management softwareIndia’s Most Comprehensive Compliance Management software
India’s Most Comprehensive Compliance Management software
 
Lexcomply - Compliance Management System
Lexcomply - Compliance Management SystemLexcomply - Compliance Management System
Lexcomply - Compliance Management System
 
Lombad risk automated regulatory compliance
Lombad risk automated regulatory complianceLombad risk automated regulatory compliance
Lombad risk automated regulatory compliance
 
Government and SOX Compliance for ERP Systems
Government and SOX Compliance for ERP SystemsGovernment and SOX Compliance for ERP Systems
Government and SOX Compliance for ERP Systems
 
Lexplosion Solutions
Lexplosion SolutionsLexplosion Solutions
Lexplosion Solutions
 
Enterprise Risk Management Solutions
Enterprise Risk Management SolutionsEnterprise Risk Management Solutions
Enterprise Risk Management Solutions
 
Lombad Risk Automated Regulatory Compliance
Lombad Risk Automated Regulatory ComplianceLombad Risk Automated Regulatory Compliance
Lombad Risk Automated Regulatory Compliance
 
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcing
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcingIP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcing
IP Sentinel Fund Services - Due Diligence for SYSC 8 IT outsourcing
 
eDelta Trading Platform Marketing-2015
eDelta Trading Platform Marketing-2015eDelta Trading Platform Marketing-2015
eDelta Trading Platform Marketing-2015
 
Corporate Compliance Management
Corporate Compliance ManagementCorporate Compliance Management
Corporate Compliance Management
 
Compliance Management Software
Compliance Management SoftwareCompliance Management Software
Compliance Management Software
 
Reducing the Risk of Fraud​ through Treasury Technology
Reducing the Risk of Fraud​ through Treasury TechnologyReducing the Risk of Fraud​ through Treasury Technology
Reducing the Risk of Fraud​ through Treasury Technology
 
Asset Management: Climbing the Asset Maturity Curve
Asset Management: Climbing the Asset Maturity CurveAsset Management: Climbing the Asset Maturity Curve
Asset Management: Climbing the Asset Maturity Curve
 
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...Webinar on Digitising Compliance Management for Greater Control and Lower Pen...
Webinar on Digitising Compliance Management for Greater Control and Lower Pen...
 
Regulatory Compliance Audit Management Solution
Regulatory Compliance Audit Management SolutionRegulatory Compliance Audit Management Solution
Regulatory Compliance Audit Management Solution
 
Control and audit of information System (hendri eka saputra)
Control and audit of information System (hendri eka saputra)Control and audit of information System (hendri eka saputra)
Control and audit of information System (hendri eka saputra)
 
SEC Regulation SCI Automation Review Compliance
SEC Regulation SCI Automation Review ComplianceSEC Regulation SCI Automation Review Compliance
SEC Regulation SCI Automation Review Compliance
 
How to Choose the Right Compliance Management Software for Your Business.pdf
How to Choose the Right Compliance Management Software for Your Business.pdfHow to Choose the Right Compliance Management Software for Your Business.pdf
How to Choose the Right Compliance Management Software for Your Business.pdf
 
Contract Automation and Compliance Digitization: A Financial Services Company...
Contract Automation and Compliance Digitization: A Financial Services Company...Contract Automation and Compliance Digitization: A Financial Services Company...
Contract Automation and Compliance Digitization: A Financial Services Company...
 

More from LexComply

Relief For LLP Firms - Settlement Scheme 2020
Relief For LLP Firms - Settlement Scheme 2020Relief For LLP Firms - Settlement Scheme 2020
Relief For LLP Firms - Settlement Scheme 2020LexComply
 
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)LexComply
 
Public notice ministry of jal shakthi
Public notice   ministry of jal shakthiPublic notice   ministry of jal shakthi
Public notice ministry of jal shakthiLexComply
 
New Due Dates Of GSTR-3B
New Due Dates Of GSTR-3BNew Due Dates Of GSTR-3B
New Due Dates Of GSTR-3BLexComply
 
Listed companies for non compliance
Listed companies for non complianceListed companies for non compliance
Listed companies for non complianceLexComply
 
Litigation Management Solution - LexComply
Litigation Management Solution - LexComplyLitigation Management Solution - LexComply
Litigation Management Solution - LexComplyLexComply
 
Extension of AGM under Companies Act, 2013
Extension of AGM under Companies Act, 2013 Extension of AGM under Companies Act, 2013
Extension of AGM under Companies Act, 2013 LexComply
 
Benami transactions amendment act, 2016
Benami transactions amendment act, 2016Benami transactions amendment act, 2016
Benami transactions amendment act, 2016LexComply
 
Compliance management software
Compliance management softwareCompliance management software
Compliance management softwareLexComply
 
ADHERENCE TO REGULATOTRY COMPLIANCE
ADHERENCE TO REGULATOTRY COMPLIANCEADHERENCE TO REGULATOTRY COMPLIANCE
ADHERENCE TO REGULATOTRY COMPLIANCELexComply
 
Are you a compliant start up?
Are you a compliant start up?Are you a compliant start up?
Are you a compliant start up?LexComply
 
How to Plan Delisting
How to Plan DelistingHow to Plan Delisting
How to Plan DelistingLexComply
 
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODS
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODSINGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODS
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODSLexComply
 
STARTUP INDIA - A New Wave to Business
STARTUP INDIA - A New Wave to BusinessSTARTUP INDIA - A New Wave to Business
STARTUP INDIA - A New Wave to BusinessLexComply
 
Compliance Management Cycle
Compliance Management CycleCompliance Management Cycle
Compliance Management CycleLexComply
 

More from LexComply (15)

Relief For LLP Firms - Settlement Scheme 2020
Relief For LLP Firms - Settlement Scheme 2020Relief For LLP Firms - Settlement Scheme 2020
Relief For LLP Firms - Settlement Scheme 2020
 
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)
Professionals Appointed Under Insolvency Bankruptcy Code, 2016 (IBC, 2016)
 
Public notice ministry of jal shakthi
Public notice   ministry of jal shakthiPublic notice   ministry of jal shakthi
Public notice ministry of jal shakthi
 
New Due Dates Of GSTR-3B
New Due Dates Of GSTR-3BNew Due Dates Of GSTR-3B
New Due Dates Of GSTR-3B
 
Listed companies for non compliance
Listed companies for non complianceListed companies for non compliance
Listed companies for non compliance
 
Litigation Management Solution - LexComply
Litigation Management Solution - LexComplyLitigation Management Solution - LexComply
Litigation Management Solution - LexComply
 
Extension of AGM under Companies Act, 2013
Extension of AGM under Companies Act, 2013 Extension of AGM under Companies Act, 2013
Extension of AGM under Companies Act, 2013
 
Benami transactions amendment act, 2016
Benami transactions amendment act, 2016Benami transactions amendment act, 2016
Benami transactions amendment act, 2016
 
Compliance management software
Compliance management softwareCompliance management software
Compliance management software
 
ADHERENCE TO REGULATOTRY COMPLIANCE
ADHERENCE TO REGULATOTRY COMPLIANCEADHERENCE TO REGULATOTRY COMPLIANCE
ADHERENCE TO REGULATOTRY COMPLIANCE
 
Are you a compliant start up?
Are you a compliant start up?Are you a compliant start up?
Are you a compliant start up?
 
How to Plan Delisting
How to Plan DelistingHow to Plan Delisting
How to Plan Delisting
 
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODS
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODSINGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODS
INGREDIENT- BASED APPROVAL FOR PROPRIETARY FOODS
 
STARTUP INDIA - A New Wave to Business
STARTUP INDIA - A New Wave to BusinessSTARTUP INDIA - A New Wave to Business
STARTUP INDIA - A New Wave to Business
 
Compliance Management Cycle
Compliance Management CycleCompliance Management Cycle
Compliance Management Cycle
 

Recently uploaded

Navigating Tax Season with Confidence Streamlines CPA Firms
Navigating Tax Season with Confidence Streamlines CPA FirmsNavigating Tax Season with Confidence Streamlines CPA Firms
Navigating Tax Season with Confidence Streamlines CPA FirmsYourLegal Accounting
 
Progress Report - Oracle's OCI Analyst Summit 2024
Progress Report - Oracle's OCI Analyst Summit 2024Progress Report - Oracle's OCI Analyst Summit 2024
Progress Report - Oracle's OCI Analyst Summit 2024Holger Mueller
 
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjt
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjtSCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjt
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjtadimosmejiaslendon
 
Unlocking Growth The Power of Outsourcing for CPA Firms
Unlocking Growth The Power of Outsourcing for CPA FirmsUnlocking Growth The Power of Outsourcing for CPA Firms
Unlocking Growth The Power of Outsourcing for CPA FirmsYourLegal Accounting
 
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptx
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptxA DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptx
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptxLokeshwariOrchid1
 
Solar Panel Installation A Comprehensive Guide.pdf
Solar Panel Installation A Comprehensive Guide.pdfSolar Panel Installation A Comprehensive Guide.pdf
Solar Panel Installation A Comprehensive Guide.pdfDYFA Electrical
 
Presentation on cross cultural negotiations.
Presentation on cross cultural negotiations.Presentation on cross cultural negotiations.
Presentation on cross cultural negotiations.sumayyasubhana321
 
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...yulianti213969
 
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODF
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODFRATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODF
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODFCaitlinCummins3
 
Pixar Case Analysis.....................
Pixar Case Analysis.....................Pixar Case Analysis.....................
Pixar Case Analysis.....................mikelopezalv
 
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![© ر
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![©  ر00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![©  ر
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![© رnafizanafzal
 
Presentation4 (2) survey responses clearly labelled
Presentation4 (2) survey responses clearly labelledPresentation4 (2) survey responses clearly labelled
Presentation4 (2) survey responses clearly labelledCaitlinCummins3
 
Moradia Isolada com Logradouro; Detached house with patio in Penacova
Moradia Isolada com Logradouro; Detached house with patio in PenacovaMoradia Isolada com Logradouro; Detached house with patio in Penacova
Moradia Isolada com Logradouro; Detached house with patio in Penacovaimostorept
 
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdf
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdfProgress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdf
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdfHolger Mueller
 
Sex service available my WhatsApp number 7374088497
Sex service available my WhatsApp number 7374088497Sex service available my WhatsApp number 7374088497
Sex service available my WhatsApp number 7374088497dipikakk482
 
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...ssuserf63bd7
 
Ital Liptz - all about Itai Liptz. news.
Ital Liptz - all about Itai Liptz. news.Ital Liptz - all about Itai Liptz. news.
Ital Liptz - all about Itai Liptz. news.htj82vpw
 

Recently uploaded (20)

Navigating Tax Season with Confidence Streamlines CPA Firms
Navigating Tax Season with Confidence Streamlines CPA FirmsNavigating Tax Season with Confidence Streamlines CPA Firms
Navigating Tax Season with Confidence Streamlines CPA Firms
 
Progress Report - Oracle's OCI Analyst Summit 2024
Progress Report - Oracle's OCI Analyst Summit 2024Progress Report - Oracle's OCI Analyst Summit 2024
Progress Report - Oracle's OCI Analyst Summit 2024
 
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjt
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjtSCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjt
SCI9-Q4-MOD9.pdfetiwtitw3i3uu45w5wtitwjt
 
Unlocking Growth The Power of Outsourcing for CPA Firms
Unlocking Growth The Power of Outsourcing for CPA FirmsUnlocking Growth The Power of Outsourcing for CPA Firms
Unlocking Growth The Power of Outsourcing for CPA Firms
 
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptx
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptxA DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptx
A DAY IN LIFE OF A NEGOTIATOR By Pondicherry University MBA Students.pptx
 
Obat Aborsi Surabaya 0851\7696\3835 Jual Obat Cytotec Di Surabaya
Obat Aborsi Surabaya 0851\7696\3835 Jual Obat Cytotec Di SurabayaObat Aborsi Surabaya 0851\7696\3835 Jual Obat Cytotec Di Surabaya
Obat Aborsi Surabaya 0851\7696\3835 Jual Obat Cytotec Di Surabaya
 
Solar Panel Installation A Comprehensive Guide.pdf
Solar Panel Installation A Comprehensive Guide.pdfSolar Panel Installation A Comprehensive Guide.pdf
Solar Panel Installation A Comprehensive Guide.pdf
 
Presentation on cross cultural negotiations.
Presentation on cross cultural negotiations.Presentation on cross cultural negotiations.
Presentation on cross cultural negotiations.
 
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...
obat aborsi jakarta wa 081336238223 jual obat aborsi cytotec asli di jakarta9...
 
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODF
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODFRATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODF
RATINGS OF EACH VIDEO FOR UNI PROJECT IWDSFODF
 
HomeRoots Pitch Deck | Investor Insights | April 2024
HomeRoots Pitch Deck | Investor Insights | April 2024HomeRoots Pitch Deck | Investor Insights | April 2024
HomeRoots Pitch Deck | Investor Insights | April 2024
 
Pixar Case Analysis.....................
Pixar Case Analysis.....................Pixar Case Analysis.....................
Pixar Case Analysis.....................
 
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![© ر
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![©  ر00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![©  ر
00971508021841 حبوب الإجهاض في دبي | أبوظبي | الشارقة | السطوة |❇ ❈ ((![© ر
 
Obat Aborsi Pasuruan 0851\7696\3835 Jual Obat Cytotec Di Pasuruan
Obat Aborsi Pasuruan 0851\7696\3835 Jual Obat Cytotec Di PasuruanObat Aborsi Pasuruan 0851\7696\3835 Jual Obat Cytotec Di Pasuruan
Obat Aborsi Pasuruan 0851\7696\3835 Jual Obat Cytotec Di Pasuruan
 
Presentation4 (2) survey responses clearly labelled
Presentation4 (2) survey responses clearly labelledPresentation4 (2) survey responses clearly labelled
Presentation4 (2) survey responses clearly labelled
 
Moradia Isolada com Logradouro; Detached house with patio in Penacova
Moradia Isolada com Logradouro; Detached house with patio in PenacovaMoradia Isolada com Logradouro; Detached house with patio in Penacova
Moradia Isolada com Logradouro; Detached house with patio in Penacova
 
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdf
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdfProgress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdf
Progress Report - UKG Analyst Summit 2024 - A lot to do - Good Progress1-1.pdf
 
Sex service available my WhatsApp number 7374088497
Sex service available my WhatsApp number 7374088497Sex service available my WhatsApp number 7374088497
Sex service available my WhatsApp number 7374088497
 
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...
Understanding Financial Accounting 3rd Canadian Edition by Christopher D. Bur...
 
Ital Liptz - all about Itai Liptz. news.
Ital Liptz - all about Itai Liptz. news.Ital Liptz - all about Itai Liptz. news.
Ital Liptz - all about Itai Liptz. news.
 

Enterprise Governance Risk and Compliance (GRC) Management Solution in India

  • 1. GRC Solutions to manage your business risks Business Critical Preventive Integrated Technology Driven Risk Comes from not knowing what you’re doing. ….Warren Bufett…
  • 2. Compliance - Changing Governance Landscape… © RSJ Lexsys Pvt Ltd. 2 All Rights Reserved Companies Act 2013 have brought in many changes in contrast with Companies Act 1956. The reporting and responsibility matrix have not only been clearly defined, the penal provisions have become more stringent. Sec 204, Companies Rules 2014 - Secretarial Audit Report mandatory for: - Every listed company and - Every public company having paid-up capital of INR 50 Crore or more; or - Every public company having a turnover of INR 250 Crore or more Clause 49 (II/D/3) - A Board is to periodically review the compliance reports of all laws applicable to a company, and prepared by it as well as the steps taken by it to rectify instances of noncompliance. Section 134 (5d) - Board of Directors to declare following in Directors’ Report: - Have devised proper systems to ensure compliance with provisions of all applicable laws - Have ensured such systems were adequate and operating effectively Section 205 (1) - The Company Secretary shall report to Board of Directors, status of compliances under all applicable laws.
  • 3. Compliance – Operational Challenges… © RSJ Lexsys Pvt Ltd. 3 All Rights Reserved INTERNAL CHALLENGES • Lack of ownership • Lack of awareness • Segmented initiatives • Process owner changes • Process changes LEGISLATIVE CHALLENGES • Large no. of legislations • Central & States • Multiple regulators • Multiple business locations • Industry Specific Guidelines SYSTEM CHALLENGES • Compliance System not standardized • Multiple Compliance vendors – Act Specific COMPLIANCE REPORTING • No Standardization & Consolidation of compliance reports. • Board needs reports in every AGM & meetings Why Compliance Management System? An average organization has to manage ~ 2,500+ Compliance per entity under ~90 Acts. It’s more than B2B sales leads handled in that year or no. of employees
  • 4. 4 Regulatory Risk Index 2016… Source: Verisk Maplecroft 81% of respondents agree that compliance will need to optimize operations in order to manage a more complex set of risks under tighter resourcing conditions. 2016 Compliance Risk Study 93% Practitioners expected personal liability of compliance professionals to increase in 2016. Respondents @ Thomas Reuters New York customer summit
  • 5. Compliance Management Solution The need and solution overview
  • 6. Solution Offerings.. © RSJ Lexsys Pvt Ltd. 6 All Rights Reserved Integrated Product line – cross leveraging platforms and contents Enterprise Solutions LexComply - Corp Internal Financial Control System Litigation Management System Professionals & Firms LexComply - Compact2013 Advisory Mycorporatedecisions. com Registrationsandappro vals.com Indiabusinesslaw.com LexComply - ECB LexComply - FDI LexComply - TRAI LexComply - FSSAI LexComply - FIRE LexComply - Pro GRC Solution Landscape Know and manage your business risks
  • 7. State & Central Acts 285+ Unique Compliance 12,750+ Corporate Events 1,000+ 1,500+ Acts Related Documents 4,600+ Legal Updates 3,000+ Corporate Clients 60+ Compliance Executed 14,000+ Compliance Filing Forms Legislative Coverage.. © RSJ Lexsys Pvt Ltd. 7 All Rights Reserved Type of Acts Covered States Covered Corporate Trade Laws Labour Regulatory SEBI Environment Information Tech Intellectual Property Taxation EXIM / FEMA Legal Metrology Health & Welfare Treasury Property FSSAI RBI FDI ..Many More Andhra Pradesh Chandigarh Delhi Haryana Karnataka Maharashtra Punjab Tamil Nadu Telangana Uttar Pradesh West Bengal More Coming..
  • 8. Low Mid High Display of Certificate Welfare Do’s & Dont’s VAT Monthly Returns Register of Directors Payment of service tax Disposal Of waste Registration/ Licensing Directors Appointment PF & ESI Contribution RBI Approvals Impact Likelihood Event Based Ongoing – 54% Payment of VAT Payment of Service Tax New Product / Services Change in KMP Business Set-Up Opening Of Offices Registers Deduction of TDS Fire and Safety Display of Certificates Likelihood 40% Date Based 7% %age of Compliances Business Criticality Types Impact of Non-compliance Monetary 96% Operational 18% Imprisonment 70% Managing the compliance complexities… Register s for Electronic Voting Provident Fund Submission © RSJ Lexsys Pvt Ltd. 8 All Rights Reserved Lights& Ventilation
  • 9. System Functionalities.. © RSJ Lexsys Pvt Ltd. 9 All Rights Reserved Product Features Content Manageme nt Legislative Updates & Monitoring Real time monitoring Accountability Audit Manageme nt Event Manageme nt - Act Language for all Compliance – Section / Sub Section, Applicability, Penal Provision, Key Definitions, Exemptions, Criticalities - Statutory agency’s details – Name, Website, Address for filing - Compliance Filing Forms - 200+ website surfed, multiple subscriptions taken to track legislative updates & changes: • Updation of Acts and Compliance in system • Updates available by dates and acts • Updates mailed regularly - Enables Pre & Post event compliance planning - Auto allocate relevant compliance across organization - Enables corporate event advisory – Advice board / management on compliance obligations from events - Create auditor’s role with read only access to relevant data. - Allocate auditor’s role by location and department. - “Archive” function - Check definition at the time of compliance reporting - Consolidated or task-wise compliance status - Reports / Dashboard. - Role Based Automated reports for various stakeholders. - Download data in CSV or Excel - Compliance matrix & hierarchy for execution of all compliance tasks. - Due diligence with system alerts, notification, and periodic reports.
  • 10. System Functionalities.. © RSJ Lexsys Pvt Ltd. 10 All Rights Reserved Document Management •Maintain repository of all registrations, approvals, licenses for unlimited period •Allows multi proofs uploads against each compliance •1 Click search of compliance proofs uploaded under acts / compliance •Allows uploading of past data & documents. Reports & Dashboards •Dashboards with drill down feature; exportable to PPT. •Scheduled reports in pre- defined formats mailed to relevant stakeholders. •Ad-hoc Reporting - Exportable to excel: Group / Company Wise, Location wise, Department Wise, Compliance Status wise, FPR / Approver / HOD wise, Defined Period, etc. Escalation & Reminders •Auto generated reminders & escalations on system, mails & SMS – 10, 7, 5, 3, 2,1,0 days from due date. •On addition of new compliance in an act. •Notifications to relevant stakeholders in case of date extension by authority Compliance Organogram •Configure unlimited companies. •FPR – Approver – HOD hierarchy and responsibility matrix for every compliance. •Maker-Checker process for compliance closure & event generation •Map compliance service provider & contractors for reporting; •Bifurcate compliance into further tasks •Create duplicate compliance in case of multiple locations or complex responsibility matrix Compliance Calendar •Compliance due dates highlighted on the compliance calendar – Current, Past & Future months. •Summary view on complete month •Drill down from calendar to check, and report dues compliance. •Compliance knowhow. •Event Check Cycle every fortnight •On-going Compliance reporting on last date of the month.
  • 11. Technical Differentiations.. © RSJ Lexsys Pvt Ltd. 11 All Rights Reserved Security Audits •Quarterly Audits for Application level Security Controls by AKS IT Services; areas covered: •SQL Injection •Session Management •Broken Authentication •Cross Site Scripting •Malicious File Uploading •Directory Browsing •Sensitive Data exposure. Other Key Functionalities •User Trainings •User, admin trainings provided during implementation and on request. •Training videos provided for all kind of users – FPR, Approver, HOD and Admin •Easy re-allocate compliance – During long leaves, role changes & attrition. •Assessment Services - Onsite visits / services for quality assessment of reported compliance Easy Implementation • Relevancy • Only relevant compliance to • Relevant stakeholders @ • Relevant time • Flexibility to chose act wise or enterprise implementation. • Easy ramp-up by acts, entity from admin panel. • Implementation cycle starts from 1 week. Roles Definitions • Super Admin – Defines group level hierarchy, define admin, Payments, etc. • Admin - Allocate acts, events & compliance, Management user • FPR – Initiates reporting • Approver – Approves compliance • HOD – Monitors FPR & Approver • Management – Read only access for reporting & auditing System Security • Supporting CIA Security Model – Confidentiality, Integrity and availability. • Daily, Weekly & Monthly backups are taken • Application Hosted on Tier IV Certified Data Centers with all required safety controls. • Mobile Enabled Technology • Technology – PHP & mySQL
  • 12. System Set-Up Process… © RSJ Lexsys Pvt Ltd. 12 All Rights Reserved
  • 13. Application Hosting Environments… © RSJ Lexsys Pvt Ltd. 13 All Rights Reserved • Tier IV Certified Data Center • Hosted in Los Angeles with required safety controls • Fully managed hardware • 99.999% uptime SLA – 4 hrs. • 20X faster load times with SSD • Partner with Corero to defend against DDos attacks. • Having 10Gbps switches to change the routing automatically if any bandwidth goes down. • 24x7 Security, Video Surveillance, Bio-metric Access & Uninterrupted Power supply • Dedicated Server Management team – 24x7x365. • Managed Hosting • Reboot less Upgrades Primary Site • Tier IV Certified Data Center • Fully managed hardware • 99.9% uptime SLA – 4 hrs. • Backing up content and data on server2 • SSL installed • Security Scan & Audit (SSA) • Intrusion Prevention • 24/7 Security, Video Surveillance, Bio-metric Access & Uninterrupted Power • Dedicated Server Management team available 24X7X365. • Managed Hosting • Reboot less Upgrades Disaster Recovery Site
  • 14. Corporate Overview & Clientele
  • 15. Corporate Brief.. © RSJ Lexsys Pvt Ltd. 15 All Rights Reserved Gaurav Jain (Founder) • Manages innovation, client services • 14+ years experience as Company Secretary • Serviced 500+ Corporates for Corporate Law Compliance, Due Diligence, FIPB, Venture Capital Fund, JV’s. The founding members… Thomas Abraham (Co-Founder) • Drives strategic initiatives • 30+ years of experience across FinTech, Publishing, Telecom & IT • Worked with global leadership teams as MD of Wolters Kluwer and Sage Jyant Kohli (Co-Founder) • Responsible for expansion & partnerships • 15+ Years experience across Education, IT, HR Technology & Compliance Service industries • An entrepreneur having worked with Indian & multinational organizations. Pooja Agarwal (Co-Founder) • Responsible for content creation & finance • ICSI, ICAI, IFRS Compliance Professional with 13+ Years of experience An offshoot of RSJ Professionals, a CS Firm since 2004 servicing 500+ Clients Incorporated in Feb, 2015 Head Quartered in Delhi Servicing client in North, West & South India In House team of 30+ Technical & Legal Experts Strong Partner ecosystem: 10+ partners 60 + corporates across industries changed the way they manage compliance
  • 16. Clients & Partners… © RSJ Lexsys Pvt Ltd. 16 All Rights Reserved PartnersClients