Compliance Check Registration

We specialize in Compliance Check Registration services to help your business meet compliance requirements and contribute to sustainable growth. Our services include the following:

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Compliance Check - Secretarial Audit Overview

  • The approach for managing compliance overall throughout the organisation includes a secretarial audit. The secretarial audit is a useful technique for managing company compliance. Additionally, it helps in identifying noncompliance and implementing the appropriate remedies.
  • A secretarial audit is a procedure used to examine a company's adherence to various laws, rules, regulations, or processes, records, accounting, bookkeeping, etc. The company's secretarial audit can be overseen by a separate expert. Making sure that the rules and regulations are adhered to and obeyed is a practice. The secretarial audit always adheres to the correct procedure. It serves largely as a means to check that stated laws are being followed.
  • Your organization's ability to effectively handle the legal and procedural requirements to ensure compliance will be improved with the help of a secretarial audit.
  • It aids in boosting the confidence of the directors and other key management personnel (KMP), etc.
  • Only when the Secretarial Audit assures that legal and procedural obligations are met in a safer, better, and audible manner can the company directors focus on their crucial business matters and meetings.
  • Thus, it aids in lightening the workload of law enforcement officials.
  • By doing this and displaying your legal history, you may demonstrate to investors the correct course to take.
  • A useful governance and risk management tool is secretarial audit. It produces the outcome considerably more effectively.
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Documents Required for Secretarial Audit

  • The Charter Documents
  • Secretarial Audit Report from last year
  • Statutory Registers
  • Minutes of Board and General Meetings and related notices
  • Certified financial statements
  • Registrar of Companies filings and notifications, stock exchanges, and newspaper advertisements (if listed)
  • Softex returns, Lease Deed, LUT Cum Bond, and Annual Performance Reports
  • Filings with other statutory agencies
  • Files with the RBI (If there is a foreign investment)
  • ECB Results (if there are foreign borrowings in the company)
  • Registers kept in accordance with labour laws
  • Received from the directors: Disclosures and Code of Conduct Declaration
  • Sitting costs and director compensation information
  • Proof of CSR expenditure
  • Disclosures SAST
  • Account information for a dividend

FAQ

Compliance auditing services evaluate an organization's adherence to regulatory standards and internal policies, ensuring operational efficiency and legal compliance.

It helps identify compliance gaps, mitigate risks, and enhance accountability, protecting the organization from potential legal penalties and reputational damage.

Industries such as finance, healthcare, manufacturing, and information technology benefit significantly from compliance auditing services.

The frequency of compliance audits depends on the industry, regulatory requirements, and organizational risk, typically ranging from annually to bi-annually.

Organizations can expect improved compliance, enhanced operational effectiveness, and actionable insights for risk management and process improvement.

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