GRC Solutions to manage your business risks
Business Critical Preventive Integrated Technology Driven
Risk Comes from not knowing what you’re doing.
….Warren Bufett…

Compliance - Changing Governance Landscape…
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Companies Act
2013 have brought
in many changes in
contrast with
Companies Act 1956.
The reporting and
responsibility matrix
have not only been
clearly defined, the
penal provisions have
become more
stringent.
Sec 204, Companies Rules 2014 - Secretarial Audit Report mandatory for:
- Every listed company and
- Every public company having paid-up capital of INR 50 Crore or more; or
- Every public company having a turnover of INR 250 Crore or more
Clause 49 (II/D/3) - A Board is to periodically review the compliance
reports of all laws applicable to a company, and prepared by it as well as
the steps taken by it to rectify instances of noncompliance.
Section 134 (5d) - Board of Directors to declare following in Directors’ Report:
- Have devised proper systems to ensure compliance with provisions of all
applicable laws
- Have ensured such systems were adequate and operating effectively
Section 205 (1) - The Company Secretary shall report to Board of Directors,
status of compliances under all applicable laws.

Compliance – Operational Challenges…
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INTERNAL CHALLENGES
• Lack of ownership
• Lack of awareness
• Segmented initiatives
• Process owner changes
• Process changes
LEGISLATIVE CHALLENGES
• Large no. of legislations
• Central & States
• Multiple regulators
• Multiple business locations
• Industry Specific Guidelines
SYSTEM CHALLENGES
• Compliance System not
standardized
• Multiple Compliance
vendors – Act Specific
COMPLIANCE REPORTING
• No Standardization &
Consolidation of
compliance reports.
• Board needs reports in
every AGM & meetings
Why Compliance Management System?
An average organization has to manage ~ 2,500+ Compliance per entity under ~90 Acts.
It’s more than B2B sales leads handled in that year or no. of employees

4
Regulatory Risk Index 2016…
Source: Verisk Maplecroft
81% of respondents agree that compliance will need to
optimize operations in order to manage a more
complex set of risks under tighter resourcing conditions.
2016 Compliance Risk Study
93% Practitioners expected personal liability of
compliance professionals to increase in 2016.
Respondents @ Thomas Reuters New York customer summit

Compliance Management Solution
The need and solution overview

Solution Offerings..
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Integrated Product line – cross leveraging platforms and contents
Enterprise Solutions
LexComply - Corp
Internal Financial
Control System
Litigation
Management System
Professionals & Firms
LexComply - Compact2013
Advisory
Mycorporatedecisions.
com
Registrationsandappro
vals.com
Indiabusinesslaw.com
LexComply - ECB
LexComply - FDI
LexComply - TRAI
LexComply - FSSAI
LexComply - FIRE
LexComply - Pro
GRC Solution Landscape
Know and manage your business risks

State &
Central Acts
285+
Unique
Compliance
12,750+
Corporate
Events
1,000+ 1,500+
Acts Related
Documents
4,600+
Legal Updates
3,000+
Corporate
Clients
60+
Compliance
Executed
14,000+
Compliance
Filing Forms
Legislative Coverage..
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Type of Acts Covered
States Covered
Corporate Trade Laws Labour Regulatory SEBI Environment
Information Tech Intellectual Property Taxation EXIM / FEMA Legal Metrology Health & Welfare
Treasury Property FSSAI RBI FDI ..Many More
Andhra Pradesh Chandigarh Delhi Haryana Karnataka Maharashtra
Punjab Tamil Nadu Telangana Uttar Pradesh West Bengal More Coming..

Low
Mid
High
Display of
Certificate Welfare Do’s
& Dont’s
VAT Monthly
Returns
Register of
Directors
Payment of
service tax
Disposal Of
waste
Registration/
Licensing
Directors
Appointment
PF & ESI
Contribution RBI
Approvals
Impact
Likelihood
Event Based
Ongoing – 54%
Payment of
VAT Payment of
Service Tax
New Product
/ Services
Change
in KMP
Business
Set-Up
Opening
Of Offices
Registers
Deduction
of TDS
Fire and Safety
Display of
Certificates
Likelihood
40%
Date Based
7%
%age of Compliances
Business Criticality Types
Impact of Non-compliance
Monetary 96%
Operational 18%
Imprisonment 70%
Managing the compliance complexities…
Register s for
Electronic Voting
Provident Fund
Submission
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Lights& Ventilation

System Functionalities..
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Product
Features
Content
Manageme
nt
Legislative
Updates &
Monitoring
Real time
monitoring
Accountability
Audit
Manageme
nt
Event
Manageme
nt
- Act Language for all Compliance – Section /
Sub Section, Applicability, Penal Provision, Key
Definitions, Exemptions, Criticalities
- Statutory agency’s details – Name, Website,
Address for filing
- Compliance Filing Forms
- 200+ website surfed, multiple
subscriptions taken to track
legislative updates & changes:
• Updation of Acts and
Compliance in system
• Updates available by dates
and acts
• Updates mailed regularly
- Enables Pre & Post event
compliance planning
- Auto allocate relevant
compliance across organization
- Enables corporate event advisory
– Advice board / management on
compliance obligations from
events
- Create auditor’s role with read
only access to relevant data.
- Allocate auditor’s role by location
and department.
- “Archive” function - Check
definition at the time of
compliance reporting
- Consolidated or task-wise
compliance status
- Reports / Dashboard.
- Role Based Automated reports
for various stakeholders.
- Download data in CSV or Excel
- Compliance matrix & hierarchy for
execution of all compliance tasks.
- Due diligence with system alerts,
notification, and periodic reports.

System Functionalities..
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Document Management
•Maintain repository of all
registrations, approvals, licenses
for unlimited period
•Allows multi proofs uploads
against each compliance
•1 Click search of compliance
proofs uploaded under acts /
compliance
•Allows uploading of past data &
documents.
Reports & Dashboards
•Dashboards with drill down
feature; exportable to PPT.
•Scheduled reports in pre-
defined formats mailed to
relevant stakeholders.
•Ad-hoc Reporting - Exportable
to excel: Group / Company
Wise, Location wise,
Department Wise, Compliance
Status wise, FPR / Approver /
HOD wise, Defined Period, etc.
Escalation & Reminders
•Auto generated reminders &
escalations on system, mails &
SMS – 10, 7, 5, 3, 2,1,0 days
from due date.
•On addition of new compliance
in an act.
•Notifications to relevant
stakeholders in case of date
extension by authority
Compliance Organogram
•Configure unlimited companies.
•FPR – Approver – HOD hierarchy and
responsibility matrix for every compliance.
•Maker-Checker process for compliance closure &
event generation
•Map compliance service provider & contractors
for reporting;
•Bifurcate compliance into further tasks
•Create duplicate compliance in case of multiple
locations or complex responsibility matrix
Compliance Calendar
•Compliance due dates highlighted on the
compliance calendar – Current, Past & Future
months.
•Summary view on complete month
•Drill down from calendar to check, and report
dues compliance.
•Compliance knowhow.
•Event Check Cycle every fortnight
•On-going Compliance reporting on last date of
the month.

Technical Differentiations..
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Security Audits
•Quarterly Audits for Application level Security
Controls by AKS IT Services; areas covered:
•SQL Injection
•Session Management
•Broken Authentication
•Cross Site Scripting
•Malicious File Uploading
•Directory Browsing
•Sensitive Data exposure.
Other Key Functionalities
•User Trainings
•User, admin trainings provided during
implementation and on request.
•Training videos provided for all kind of users
– FPR, Approver, HOD and Admin
•Easy re-allocate compliance – During long
leaves, role changes & attrition.
•Assessment Services - Onsite visits / services
for quality assessment of reported compliance
Easy Implementation
• Relevancy
• Only relevant compliance to
• Relevant stakeholders @
• Relevant time
• Flexibility to chose act wise or
enterprise implementation.
• Easy ramp-up by acts, entity from
admin panel.
• Implementation cycle starts from
1 week.
Roles Definitions
• Super Admin – Defines group level
hierarchy, define admin, Payments,
etc.
• Admin - Allocate acts, events &
compliance, Management user
• FPR – Initiates reporting
• Approver – Approves compliance
• HOD – Monitors FPR & Approver
• Management – Read only access
for reporting & auditing
System Security
• Supporting CIA Security Model –
Confidentiality, Integrity and
availability.
• Daily, Weekly & Monthly backups
are taken
• Application Hosted on Tier IV
Certified Data Centers with all
required safety controls.
• Mobile Enabled Technology
• Technology – PHP & mySQL

System Set-Up Process…
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Application Hosting Environments…
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• Tier IV Certified Data Center
• Hosted in Los Angeles with required safety controls
• Fully managed hardware
• 99.999% uptime SLA – 4 hrs.
• 20X faster load times with SSD
• Partner with Corero to defend against DDos attacks.
• Having 10Gbps switches to change the routing
automatically if any bandwidth goes down.
• 24x7 Security, Video Surveillance, Bio-metric Access
& Uninterrupted Power supply
• Dedicated Server Management team – 24x7x365.
• Managed Hosting
• Reboot less Upgrades
Primary Site
• Tier IV Certified Data Center
• Fully managed hardware
• 99.9% uptime SLA – 4 hrs.
• Backing up content and data on server2
• SSL installed
• Security Scan & Audit (SSA)
• Intrusion Prevention
• 24/7 Security, Video Surveillance, Bio-metric Access
& Uninterrupted Power
• Dedicated Server Management team available
24X7X365.
• Managed Hosting
• Reboot less Upgrades
Disaster Recovery Site

Corporate Overview & Clientele

Corporate Brief..
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Gaurav Jain (Founder)
• Manages innovation, client services
• 14+ years experience as Company Secretary
• Serviced 500+ Corporates for Corporate Law
Compliance, Due Diligence, FIPB, Venture
Capital Fund, JV’s.
The founding members…
Thomas Abraham (Co-Founder)
• Drives strategic initiatives
• 30+ years of experience across FinTech,
Publishing, Telecom & IT
• Worked with global leadership teams as MD
of Wolters Kluwer and Sage
Jyant Kohli (Co-Founder)
• Responsible for expansion & partnerships
• 15+ Years experience across Education, IT, HR
Technology & Compliance Service industries
• An entrepreneur having worked with Indian
& multinational organizations.
Pooja Agarwal (Co-Founder)
• Responsible for content creation & finance
• ICSI, ICAI, IFRS Compliance Professional with
13+ Years of experience
An offshoot of RSJ Professionals, a CS Firm since
2004 servicing 500+ Clients
Incorporated in Feb, 2015
Head Quartered in Delhi
Servicing client in North, West & South
India
In House team of 30+ Technical & Legal
Experts
Strong Partner ecosystem: 10+ partners
60 + corporates across industries changed the
way they manage compliance

Clients & Partners…
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PartnersClients