Finteglaw Knowledge Solutions Private Limited

Regulatory and Statutory Compliances are of utmost importance and the cost of non-compliance is on the increase day by day. Studies conducted by leading research organisations across global economies have proved that the cost of compliance is very small compared to the cost of non-compliance. Finteglaw helps large corporate groups and small businesses as well to achieve high levels of compliance by implementing automated systems (and manual systems, depending on clients' choice) for Regulatory and Statutory Compliances.

The concept of Secretarial Audit was introduced by the Companies Act, 2013. It is a process to check compliances made by the Company under Corporate Law & other laws, rules, regulations, procedures etc. It is a mechanism to monitor compliance with the requirements of all applicable laws and related compliance processes. Secretarial Audit gives comfort to the regulators, stakeholders and management that company observes a disciplined approach to evaluate and improve effectiveness of risk management, control, and governance processes

A compliance audit is a comprehensive review of an organization's adherence to regulatory guidelines and preparations. Finteglaw’s Audit Team review security polices, user access controls and risk management procedures over the course of a compliance audit.

An effective risk management oversight program identifies and manages risks that potentially threaten a company, such as fraud, failed audits, lost customers, damage to brand and reputation, and increased capital costs. Audits of specialised nature have become necessary for corporate entities to introspect their efficacy in various faculties of business management. These audits are highly effective in fine tuning the policies of the company to achieve the highest levels business standards and customer satisfaction.

Every organisation is prone to several risks such as Strategic Risk, Reputation Risk, Compliance Risk, Operational Risk, Legal Risk, Exit Strategy Risk, Counter party Risk, Country Risk, Contractual Risk, Outsourcing Risk, Access Risk, Concentration Risk and Systemic Risk. These risks can lead the organisation to huge financial losses and/or loss of reputation. An audit will bring out the high risk areas into focus leading to mitigating measures.

In today’s economy, technology has become the cardinal aspect of every business. The Information Technology Act 2001 (IT Act) and the rules thereof call for an integrated security policy which encompasses the network, access and several other aspects.

The legal Team of Finteglaw is fully equipped to handle all advisory services in respect of Cyber Law. Finteglaw provides value added inputs combining the legal and technical perspectives in respect of compliances under the IT Act

Finteglaw offers legal solutions in respect of maters relating to Securities Contract Regulations Act, Securities & Exchange Board of India (SEBI) Act, Rules and Regulations issued by SEBI on Merchant Banking, Stock Broking, Registrars & Transfer Agents, Debenture Trustees, Bankers to an Issue, Rating Agencies, etc.

We also assist issuers and market intermediaries in preferring appeals with the Securities Appellate Tribunal, against various orders issued by SEBI.