Regulatory and Compliance Consulting

Governance, Risk and Regulatory Services

Tightening compliance requirements and improving enforcement structure being put in place by regulators across the globe have emphasized the need to have a structured process for compliance management. We help companies to identify and address legal and regulatory compliance requirements and implement a compliance management process for effective oversight.

Compliance with Companies Act and Clause 49

  • Identify and address legal and regulatory compliance requirements pertinent to business activities
  • Design and implement a compliance management policy  and organization for effective oversight and reporting of critical non-compliances
  • Training programs on effective processes and practices for compliance related activities
  • Assist in implementation of risk and compliance platforms

Compliance with ‘Risk Based Supervision’ (RBS) expectations

  • Provide assistance in addressing risk based supervision requirements
  • Develop validation rules for regulatory reporting

Regulatory assessment services for transaction banking products

  • Assessment of regulations and market landscape for trade and transaction banking offerings to corporates

Assistance with Automated Data Flow (ADF)

  • Develop business requirements for regulatory reporting including requirements under ‘Risk Based Supervision’

Solvency II services

  • Develop and define a fully integrated and standardized risk process and methodology across the organisation.
  • Improve integrated governance and risk management across business units
  • Identify potential for reduced capital

BASEL II/ III services

  • Studying impact of Basel regulations on capital and profitability
  • Assistance in designing the Basel II program including governance, policies, processes, models, technology, training and change management
  • Assistance with application to regulator