Legal Compliance audit

1. LEGAL & REGULATORY COMPLIANCE AUDIT
SERVICES
LexcareConsultantsLLP
Lexcare Consultants LLP
Amit Dwivedi
Mobile:- +91 9930001306
amit.dwivedi@lexcare.co.in

2. ABOUT US
 A LLP registered under The Limited Liability Partnership Act, 2008 :
LLP Identification Number: AAB-5759. Registered date: 10th June
2013.
 Competent and experienced team of Lawyers, Chartered Accountant
and Human Resource Professionals.
 Hands on knowledge of Implementing compliance management
program for large companies in India and abroad.
 Rich experience of conducting legal & regulatory compliance audits
for large companies in various domains such as Automobiles, Iron &
Steel, Manufacturing, Pharma, FMCG, Retail, Chemicals and
Fertilizers, Mining, BFSI, IT domain etc.
LexcareConsultantsLLP

3. WHY LEGAL & REGULATORY COMPLIANCE AUDIT
 Increasing focus on governance, accountability & transparency
 Risk exposure for directors and executives of the business
 Failure to obtain all proper permits and licenses could lead to fines,
penalties, and, in some cases, even closure of unit by governmental
agencies
 Non Compliances at Contractors could lead to closure of Unit
 Complexity in Central, State and Local laws
 The legal audit also lays the groundwork for the establishment of an
ongoing legal compliance and prevention program in order to ensure
that the company's goals, structure and ongoing operations are
consistent with the latest developments in business and corporate
law.
LexcareConsultantsLLP
Small Non-Compliance can lead to Reputational Risk to the
organization

4. SCOPE OF WORK FOR AUDIT SERVICES
 Preparation of Probable list of applicable laws based on Industry
research;
 Physical visit to locations for understanding activities in details;
 Discussion with concern peoples for identifying laws & compliances
applicable to locations;
 Examination and review of all statutory records maintained by
locations;
 Examination and review of all statutory records maintained by each
contractors for compliances which are primary responsibility of the
contractors, but impacting client as a principal employer;
 Preparation and submission of legal compliance audit report
highlighting areas of non-compliance with recommendations.
LexcareConsultantsLLP

5. COVERAGE OF AUDIT
LexcareConsultantsLLP
 Human Resource
 Environment, Health & Safety
 Corporate
 Tax (Direct & Indirect)
 Commercial
 Local/Municipal
 Industry Specific
 Import/Export
 Preliminary Compliances
 Ongoing Compliances
 Periodic Compliances
 Conditional Compliances
Category of Laws Covered Type of Compliances

6. METHODOLOGY
LexcareConsultantsLLP
Understanding
activities
Submission of
documents
Examination of
Records
Preparation of
Report
Discussion of
Findings
Recommendations
Our methodology of work would be-
 Extensive preparation by studying client business
 Physical visit to the Locations
 Understanding activity / operation / process after meeting with concern people and key
management personnel to finalise applicable laws and compliances
 Submission of list of documents for review
 Examination and review of all statutory records maintained by Company
 Preparation & submission of Audit Report.
 Discussion of findings
 Recommendations

7. TIMEFRAME
LexcareConsultantsLLP
 The timeframe for completion of audit and submission of report for
one manufacturing location will be around 10 days.
 Please note that our ability to meet with the agreed time lines will
depend upon:
Timely visit to the offices and availability and receipt of the documents and
information requested;
Availability of the documents and information in the manner requested by us;
and
Timely availability of your representatives for providing explanations and
clarifications.
 If we foresee any delays, we will bring this to your notice promptly so
as to enable you to take prompt appropriate action.

8. Other Compliance Services
LexcareConsultantsLLP

9. OTHER COMPLIANCE SERVICES
LexcareConsultantsLLP
 Visit to Locations for
understanding business activities.
 Identifying laws applicable to
locations.
 Preparing & Providing exhaustive
compliance checklists under all
applicable laws.
 Periodic Updates in Compliance
Checklist
 Design consulting and
documentation to your IT team for
developing IT system for
compliance management.
 Feedbacks while development.
 Review and testing of system.
 Implementation support.
Compliance Checklist Consultancy for Developing
Compliance Management Tool

10. OTHER COMPLIANCE SERVICES
LexcareConsultantsLLP
 Compliance training in the area of
Labour and EHS laws
 Question & Answer sessions on
compliances.
 Hands on training for filing
returns & maintaining records &
registers.
 Understanding requirements.
 Providing liasoning support to do
the compliances.
 Support to identify vendor for
liasoning and fillings.
 Review of deliverables of vendors.
Compliance Training Liasoning

11. Why LexCare….
Rich in Experience Rich in experience in providing legal & regulatory compliances.
Strong Team with
Domain Experience
Domain expertise for all category of laws.
Support Efficient response time for meeting critical timelines
Quality Service
 Better quality of checklists which shall be easy to understand by non legal
person and user friendly.
 Audit covering minute level of compliances.
Cost Effective We offer excellent quality of services at reasonable cost.

12. CONTACT US
LexcareConsultantsLLP
You may contact following persons for any further
details or clarifications:-
Amit Dwivedi
Email:-
amit.dwivedi@lexcare.co.in
Mobile:- +91 9930001306
Ravi Uppalapati
Email:-
ravi.uppalapati@lexcare.co.in
Mobile:- +91 9000977794
For any general queries please contact on contactus@lexcare.co.in
You may also visit our website at www.lexcare.co.in

13. Thank you
LexcareConsultantsLLP