Governance, Risk & Compliance Software

1. © 2013 eMinds Legal
Governance, Risk & Compliance Software

2.  Statutory Compliances
• Central and State Laws
 Regulatory Compliances
• Industry specific laws
 Internal Compliances
• Compliance with Policies, Code of Conduct etc.
 Contract Compliances
 Registration and Licenses
 Assessments
 Audit & Controls
Types of Compliances
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3. 3
Complex Laws
Frequent
Amendments
Liability of
Directors
Why Compliance Framework?
Non-Compliance not an option
for running sustainable businesses !!!
Penalties and
Imprisonment

4. Are you managing your Compliances Effectively?
 Are you able to keep real time track of changes in all applicable Laws?
 Do you have a centralised monitoring system for tracking Compliances
across all entities, locations and departments?
 Are your compliances always on time and without late fees or penalties?
 Are your key compliance documents and challans properly stored and
accessible?
 Do you report Compliances to your Board or Sr. Management on a monthly
basis?
 Do you maintain a centralized repository of all your Contracts?
 Are you able to pro actively track expiry dates of all Registrations
and Licenses?
 Do you have a system to monitor Audit findings till closure?
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5. Compliance Maturity Model
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Phase 1
No Control
Phase 2
Limited Control
Phase 3
Integrated
Phase 4
Mature
Ad hoc
Half -Baked
Dept.
Checklists
Compliance
Monitoring
Compliance
Audits
Organizational Maturity
Compliance
Management

6. Building a World Class Compliance Framework
 Identify Applicable Laws
 Compliance Checklists of all Applicable Laws
 Accountability for each Compliance
 Monthly Compliance Calendar
 Real time Compliance Dashboards
 Quarterly Compliance Declarations
 Alerts, Reminders & Escalations for Compliances
 Compliance Committee
 Monthly Legal Updates
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7. 7
 Value creation
– Enhanced goodwill amongst stakeholders and business associates
– Enhanced creditworthiness
– Helps increased focus on governance, transparency & accountability
 Risk Management
– Ensures compliance with various laws
– Helps to avoid penalties and prosecutions
– Minimizes Litigation
Benefits of a Compliance Framework

8. How Complinity Compliance Software can Help You
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Compliance
Track and Monitor all
applicable Compliances
Legal Updates
Get real time Legal Updates
for applicable Laws
Contracts
Maintain repository of all
Contracts & track Expiry Dates
Registrations
Maintain repository of all
Registrations & Licenses
Litigations
Track all open Cases,
Hearings and Legal Notices
Assessments
Track and monitor all open
assessments
Secretarial
Automate Corporate
Secretarial Function
Audit
Track Audit Findings till
Closure
Insurance
Track all Insurances & get
Expiry Alerts

9. 9
Sample Dashboards

10. Complinity USPs
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11. About Us
 We are a Technology Company specializing in Governance,
Risk & Compliance (GRC) powered by a Corporate Law Firm
 5 Partners & 80+ professionals comprising CA, CS, Lawyers
and IT Professionals
 300+ clients all over India

12. Co-founders
Sumit Pahwa
Partner, Legal
•Corporate Lawyer
•20 yrs exp (1998-2018)
•Formerly Head Legal - Barclays
•Expert in Corporate Laws, Cyber crime, POSH,
IBC, NCLT
•Author, Speaker
•FCS, LLb, DBF, MBA (FMS)
Kapil K. Sharma
Partner, Compliance
•Company Secretary and Corporate Lawyer
•20 yrs exp (1998-2018)
•Formerly GM – Coral Drugs
•Expert in labour laws, direct and indirect
taxation, compliance audits, frameworks etc.
•FCS, LLb, DBF
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13. Co-Founders
Preeti Pahwa
Partner, Secretarial & POSH
•Company Secretary
•20 yrs exp (1998-2018)
•Formerly CS- Sun Vacuum
•Expert in Corporate Laws and POSH matters
• FCS, LLb
Hari Balasubramanian
Partner, Complinity
•Technology Professional
•38 yrs exp. (1980-2018)
•Formerly CIO Modi Xerox & CEO, Usha Martin
•Member, Global Security Board, Apache group
•B Tech, MS (New York)
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14. Building Relationships, not just Clients !!!
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15. Happy to add value to your Business !
544, Tower B-2 | Spaze i-Tech Park | Sector 49 | Sohna Road | Gurgaon
Pin:122018 | Haryana | India
One of the top 3 Compliance Softwares in India
Amit Saini
amit.saini@complinity.com
9811406675
Sumit Pahwa
sumit@emindslegal.com
9999991972