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Compliance and Regulatory

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Effective compliance with regulatory requirements forms the bedrock of running a successful business in regulated industries. We advise and handle matters across multiple domains, including Insurance, Mutual funds/ Asset Management and more.  These include:      

 

1. Regulatory and Compliance - Insurance, Pension, Mutual Funds, NBFCs, Intermediaries regulated under IRDAI, PFRDA, SEBI, RBI regulations

  • Compliance frameworks and reviews

  • Regulatory approvals

  • Business advisory

  • Incident and Breach management

  • Show Cause Notices, Inspection and Hearing

  • Regulatory matters, advisory, engagement

  • Training and Awareness programs

  • Advocacy

 

2. PMLA (AML), Sanctions, Anti-Bribery

  • Prevention of Money-Laundering Act (PMLA) - policy, processes, framework, and advisory

  • Framework gap assessment and uplift

  • Related frameworks such as transaction monitoring, KYC, and customer due diligence

  • AML Technology solutions - support and implementation

  • Sanctions - policy and compliance; screening framework; advisory; screening technology

  • Anti Bribery - policy, framework, and advisory 

  • Training and awareness programs

  • Advocacy

 

3. Privacy regulations (Digital Personal Data Protection law)

  • Policies, framework, advisory

  • Cookies policy, Data processing agreements, Consent management

  • Privacy risk assessment

  • Framework gap assessment and uplift

  • Data mapping and Data retention - framework and repository

  • Regulatory matters

  • Training and awareness programs

  • Advocacy

Special Projects and Regulatory Approval

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When you need an expert to execute your project end to end - whether it is obtaining regulatory approval to launch a new mutual fund, or you are looking to obtain approval for a capital issuance - we bring the right expertise to the table.

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We understand the sensitivity of mission-critical regulatory projects. That’s why you can count on us to deliver solutions and resolve a wide range of regulatory matters, including:

  • Regulatory licensing and approvals for new business or changes involving Asset Management Company / Mutual Fund; Insurance Company; Pension Company; Intermediaries

  • Capital issuances, Employee Stock Option Plans (ESOP)

  • Mergers, restructurings, and Stake sales

  • Joint Venture formation or restructuring

  • Drafting and reviewing Subscription and Shareholding Agreements

Corporate Governance

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Strong governance is critical for sustainable business success and building a robust reputation. In most corporate failures, weaknesses in the corporate governance framework are either the key reason or a material contributing factor.

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We provide bespoke corporate governance services that help organisations strengthen and elevate their governance structures, enhance accountability, and ensure compliance with evolving regulatory standards. Whether you're a growing startup or an established enterprise, our expertise supports informed decision-making, risk management, and long-term value creation.

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Our Services include:

  • Board Advisory services - Board structure and composition, Director recruitment and onboarding; Board Performance evaluation

  • Review and update of the Corporate Governance framework - Board and Committee charters; Code of Conduct and Ethics policies; Delegation of Authority matrix

  • Regulatory Compliance and Reporting - Flow of reports and information on regulatory compliances and risks, including to the appropriate forums (Board / committees)

  • Company Secretarial support - Board and Committee meetings; Shareholder meetings (AGM, EGM)

  • Review of Company constitution 

  • ​Director training and compliance framework

  • Whistleblower and Prevention of Sexual Harassment (POSH) matters

  • Enhance Board processes and documentation including agenda, notes, minutes

  • Board meetings automation - Board portals

Company Secretarial

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Robust company secretarial work is essential to ensuring that you meet your Company law requirements, and comply timely and to the expected standards.

We offer high quality Company Secretarial services, covering all corporate matters, including: 

  • Business formation – setting up a company, LLP, or Section 25 company

  • Preparation, review, certification, and filing all ROC / MCA forms

  • Obtaining approvals from the MCA

  • Undertaking Secretarial audits

  • Special reviews and due diligence on a range of matters

Company Secretarial services is provided through our sister entity, a Practising Company Secretary firm.

Training and Awareness

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As the company grows and moves forward, it is essential not only to maintain but also to enhance the knowledge and capability of management and staff across a range of subjects. This directly contributes to the continued success and risk management of the organisation. 

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In today's world, Training and Awareness (T&A) is not only a necessity, but also a regulatory obligation and expectation.

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We run a range of T&A programmes (workshops / classroom / focused / online), structured as general awareness sessions, specialised workshops, or deep-dive programs - tailored to risk profile, regulatory requirements and expectations, and organisational maturity. 

 

Our T&A ​programmes span the following:

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  • Board / Corporate Governance

    • Directors / Independent directors training

    • Directors – duties and liabilities

    • Corporate governance, including sectoral frameworks

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  • Conduct

    • Code of Conduct, Ethics

    • Conflict of interest

    • Whistleblower

    • POSH (Prevention of Sexual Harassment) law

 

  • PMLA / AML / FinCrime Compliance

    • Anti-money laundering  (or specific areas like risk assessment, customer due diligence, transaction monitoring)

    • Sanctions

    • Anti-bribery

    • Gifts, hospitality, and entertainment

 

  • DPDP / Privacy

    • Privacy concepts and framework

    • Privacy risk assessment

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  • IRDAI / PFRDA / SEBI

    • Compliance frameworks for insurers, pension companies, mutual funds, and intermediaries

    • Compliance management

    • Prevention of insider trading and personal trading guidelines

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  • Others

    • Regulatory management and relationship

    • FDI rules/ RBI reporting

    • Foreign companies – awareness on India business and culture landscape 

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  • Legal / Corporate Law

    • Key elements of a contract; documentation

    • Contract risk (covering areas such as indemnity, liability, termination; and risk flags)

Note: Some of the Services are provided in conjunction with or with support of our Strategic Partners / Sister entities.

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CONTACT US

Have an inquiry?
Connect with us.

compliense@compliense.com.au

+91 22 3568 1752

Mumbai, India 

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Privacy Policy  |  Terms & Conditions   |  ©2025 Compliense Advisors

More Services:

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  • Our Australia AML/CTF & FCC Advisory Services - Go here

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  •  Our Australia-India Business Advisory Services - Go here

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COMPLIENSE ADVISORS PTY LTD
ABN: 46 670 831 464

Privacy Policy  |  Terms & Conditions   |  ©2025 Compliense Advisors Pty Ltd

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Compliense Advisors Pty Ltd acknowledges the Traditional Custodians of country throughout Australia and their connections to land, sea and community. We pay our respect to the Elders past, present and emerging, and extend that respect to all Aboriginal and Torres Strait Islander peoples.

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