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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