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COMPREHENSIVE COMPLIANCE CHECK SERVICES
COMPREHENSIVE COMPLIANCE CHECK SERVICES
We offer comprehensive Compliance Check Services tailored to help businesses across various sectors—whether financial, manufacturing, or other regulated industries—maintain alignment with legal standards, industry regulations, and internal policies. Our services include in-depth Regulatory Compliance Audits to uncover potential gaps and risks, thorough Policy and Procedure Reviews to ensure your internal documentation remains up-to-date with current laws, and proactive Risk Assessment and Mitigation strategies to minimize exposure to penalties and reputational damage. We also provide full support with Documentation and Reporting, helping you stay prepared for audits or inspections at any time. With our Ongoing Monitoring and timely updates, your organization can confidently adapt to evolving compliance requirements, allowing you to focus on strategic growth without regulatory worry.
AUMYAA’S COMPLIANCE OFFERINGS SERVICES:
AUMYAA’S COMPLIANCE OFFERINGS SERVICES:
Compliance Risk Assessment and Testing
Compliance Risk Assessment and Testing
Services Include:
Services Include:
Frame Compliance Policy
Develop Compliance Testing Plan
Assist with compliance testing and risk assessment per policy and plan
Prepare and submit testing and assessment report
Support implementation of compliance testing
Compliance Assessment Services
Compliance Assessment Services
Services Include:
Services Include:
Review adequacy of compliance framework, policies, governance, and reporting.
Identify applicable laws, regulations, circulars, and directions.
Assess compliance monitoring process and tools used.
Review tool management: access, changes, training, third-party control, archiving.
Check compliance reporting to senior management.
Verify timely submission of RBI returns.
Review policies for alignment with RBI directions.
Check committee composition, meetings, and minutes.
Review statutory training programs.
Secretarial Services
Secretarial Services
Services Include:
Services Include:
Review or prepare secretarial documents
Assist with ROC filings.
Prepare statutory agenda MIS as per RBI and MCA requirements.
Manage or review transactions for issuing NCDs, Commercial Papers per SEBI/RBI/ROC rules.
Vendor and Third Party Management
Vendor and Third Party Management
Services Include:
Services Include:
Review third-party agreements per outsourcing guidelines.
Perform vendor risk assessment.
Ensure legal compliance during vendor onboarding and reviews.
Periodic DD check or assist
Governance Guidelines of RBI
Governance Guidelines of RBI
Services Include:
Services Include:
Frame internal corporate governance guidelines.
Constitute committees as per RBI guidelines
Ensure directors/ KMP appointments and 'Fit and Proper' criteria check
Follow RBI norms for KMP and senior management compensation
Collection Agent Management
Collection Agent Management
Services Include:
Services Include:
Check onboarding process of collection agents
Review collection agents' agreements per outsourcing guidelines
Support onboarding and periodic review of agents.
Help draft code of conduct for collection agents.
Assist in training programs for collection agents.
Check legal compliance by company and agents to protect customer interest.
RBI Inspection Preparation
RBI Inspection Preparation
Services Include:
Services Include:
Create MIS/checklist for RBI inspection points.
Mock test as being RBI officer.
Review compliance and secretarial data before submission to RBI.
Disclosure Requirement
Disclosure Requirement
Services Include:
Services Include:
Help company identify statutory premises and website disclosures.
Assist in preparing comprehensive MIS for the same.
Providing disclosure format for publication
Statutory Position Management
Statutory Position Management
Services Include:
Services Include:
Help company fulfill statutory roles (Independent Director, CISO, KMP etc.)
Policy Management
Policy Management
Services Include:
Services Include:
Prepare or review policies as per applicable law.
Check company adherence to policies.
Provide guidance on non-implemented statutory policies.
Helping in implementation of non adherence of policy
Fair Practice Code Check
Fair Practice Code Check
Services Include:
Services Include:
Process loan applications.
Appraise loans and set terms; provide Key Facts Statement.
Apply penal charges on loans.
Disburse loans and manage term changes.
Ensure responsible lending and release of property documents on repayment.
Oversee BOD responsibilities.
Follow RBI Integrated Ombudsman Scheme, 2021.
Communicate Fair Practice Code clearly.
Regulate complaints on excessive NBFC interest.
Manage vehicle repossession by NBFCs.
Provide loans to physically/visually challenged borrowers.
Why Choose Us?
Why Choose Us?
Deep industry expertise
Tailored solutions for your business size and sector
Fast, confidential, and cost-effective service
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