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Compliance framework

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How to establish a compliance framework

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Compliance framework

  1. 1. Compliance FrameworkPresented by CA Manoj AgarwalJanuary 19, 2013, Institute of Internal Auditors, India-Bombay Chapter
  2. 2. Disclaimer• All the contents of the presentation constitute the opinion of the speaker, and the speaker alone; they do not represent the views and opinions of the speaker’s employers, supervisors, nor do they represent the view of organizations, businesses or institutions the speaker is, or has been a part of. 2
  3. 3. Agenda• Framework• Framework for Compliance• Q&A 3
  4. 4. Definitionsframe·work/`frām, wərk`/Noun1. An essential supporting structure of a building, vehicle, or object.2. A basic structure underlying a system, concept, or text: "the theoretical framework of political sociology".Synonyms• frame - skeleton - structure - carcass - cadre – shell 4
  5. 5. What do you see here? 5
  6. 6. Components of a FrameworkComponents Policy Process PeopleInput Tone at the top Laws Org Charts. Organization Policies Industry best practicesProcess What are our values How we will do what Do we know what we and principles we want to do are supposed to do? What do we want to When we will do do Where we will do Why we want to do Who will do itOutput Policy Compliance Checklist Role-Responsibility- Compliance Calendar Authority- Compliance Manual Accountability Records and decisions TrainingPDCA Update Policy Update processes Provide Training
  7. 7. Policy• What are our values• What is our principles Share the fruit Equal of enterprise Anti Discrimination Opportunity Minimum wages Standard Salary Structure Payment of Bonus Act Shop and establishment Acts PF ESIC/ WCA/Mediclaim Follows the Treat workers laws of the fairly land
  8. 8. Process - Compliance ManualIndexSl. No Acts/ Regulations covered Category Overall responsibilityAct wise compliancesSr No. Act/ Rules/ Category Reference Legal Statutory Frequency Effect of Regulation (Sections/ Provisions Filings / Time contravent s/ Scheme Rules/ Limit ion/ Regulation default s)
  9. 9. Process - Compliance ChecklistCompliance for the month of______________Sr. Activities Responsi Sections/ Act/ Complian Authority Date ofno. bility Rules/ Rules/ ce Due complian Regulatio Regulatio Date ce ns) ns/ SchemeSr No. Act/Rules/ Category Reference Legal Statutory Frequency/ Effect of Regulation (Sections/ Provisions Filings Time Limit contraventi s/Scheme Rules/Reg on/default ulations)
  10. 10. Process - Compliance ChecklistCompliance for the month of______ Are we Gap Corrective Preventive Compliant Analysis Measure Measures PDCA Cycle
  11. 11. People• Role-Responsibility-Authority-Accountability Matrix• Segregation of Duty• Training
  12. 12. Principles of Internal Controls 12
  13. 13. Process 13
  14. 14. People 14
  15. 15. Tools 15
  16. 16. Issues• Business vs compliance• Common Definition – lack of 16
  17. 17. Recap 17
  18. 18. Q&AResourceshttps://www.unifiedcompliance.com/Contact detailsManoj Agarwalmanojbagarwal@gmail.com+91 9820392252http://in.linkedin.com/in/manojbagarwal/http://www.slideshare.net/manojbagarwal/presentations@amanojca 18

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