Corporate Compliance Management

CORPORATE COMPLIANCE MANAGEMENT

CCM DEFINED

ARENA OF SERVICES PROVIDED

SERVICESSERVICES

CCM PROCESS

Due Diligence

Compliance Management

Compliance Assurance

Online Offline

Implementation Corporate Compliance Management

Step II : Identification

Step III : Evaluation

Step IV : Assessment

The Five step process …

Step V : Compliance Structure

Step I : Understanding the Company

Step I : Understanding The Company

- Company’s History & Background

- Capital Structure & Evolution

- Promoters & Group Companies

- Management & Administration buildup

- Financial Soundness & Debt Structure

- Risk Management & Protection - Licenses & Approvals

Step II : Identification Process

General application of Laws

Sectoral application of Laws

Industry/ Segment wise application of Laws

Media And Entertainment

Infrastructure, Power And Telecom

IT Solutions

IT Enabled Services And BPO

Textiles

Tourism And HotelCapital Market And Its Intermediaries

Engineering and Construction

FMCG

Agriculture AndFood Processing

Capital Goods

Drugs, Pharma And Healthcare

Banking And NBFC

Financial Services

Global Operations

Geographical application of Laws

Indian Operations

Step III – Evaluation of Compliance Timings

Identify the gap between the

present compliance system and

the results of evaluation process

Step IV - Assessment

Establishing Controls &

Standard

Delegation of Responsibility

Analysis & Assessment

Compliance Reporting

Step V : Creation Of Compliance Structure

Compliance Management Tools

Checklists

Due Diligence

Softwares

Data banks

Research & Updations

Back End Preparation

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

GROUNDWORK DONE

Work needs to be done…..

Identification of Laws (Industry wise, Area Wise)

Checklist on rest of the Laws Experts of Laws Database of different Authorities