1. GRC Solutions to manage your business risks
Business Critical Preventive Integrated Technology Driven

2. 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
Compliances – The Complexities
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%

3. Compliance - Operational Challenges
INTERNAL CHALLENGES
• Lack of ownership
• Lack of awareness of
functional staff
• 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. Penalty for non-compliance
Company Min fine - INR 50,000; Max - INR 500,000
For Every Officer
in Default
Min fine - INR 50,000; Max - INR 500,000
or Imprisonment of 6 months or both
For PCS who
wrongly certifies
Min fine - INR 50,000; Max - INR 500,000
Compliance - Regulatory Requirements
Punishment For Default
Punishable with fine which shall not be less than INR 1 lakh
but which may extend to INR 5 lakhs.
Moreover, if a secretarial auditor, has reason to believe that
an offence involving fraud is being or has been committed
against the company by officers or employees, he shall
immediately report the matter to the Central Government and
failure to do so shall attract a fine which shall not be less than
INR 1 lakh but may extend to INR 25 lakhs.
Cos Act 2013 (Sec 134) – Company’s Annual Return
• Annual Report is to be filed with ROC to provide the annual
information about the Company and its members about
the Company’s general compliances.
• Among various information to be covered, the crucial is
matters relating to certification of
compliances, disclosures as may be prescribed.
• Annual Return shall be signed by a director and the
company secretary, or where there is no company
secretary, by a Practicing Company Secretary (PCS).
Secretarial Audit made MANDATORY by Cos Act, 2013
As per Sec 204, read with Companies Rules 2014, following
companies are required to obtain ‘Secretarial Audit Report’:
• Every listed company and
• Every public company having a paid-up share capital of Fifty
Crore rupees or more; or
• Every public company having a turnover of Two Hundred
Fifty Crore rupees or more

5. Echoing concerns on compliances..
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 voted at Thomas Reuters New
York customer summit
Other Relevant Facts & Trends
• 37% of mid-sized companies data left sitting in Excel or similar types of databases.
• Organisations just do not have visibility of their compliance obligations.
• Most users don’t have access to relevant consolidated compliance library and updates thereto
• Penalties & Prosecutions of individuals & directors seen a steep hike in recent times.

6. #rethinkcompliance with LexComply
Highly configurable:
• Relevant Compliance to
– Relevant stakeholders @
– Relevant time
• Integrate external agencies
Document Management:
• Upload multi proofs with
each compliance
• 1 Click to get all proofs
related to acts / compliance
Automated Functions:
• Auto Allocation of new
compliance based on role
• Auto reminders / escalations
• Reports on set frequency
Unlimited Companies
• Single Instance
• Reporting – Company wise
and / or Group wise
• Role Based Access
Technology Features
• On-cloud offering
• Accessible on Mobile
• Order to Use in 15 days
• Minimal IT involvement
System Security
• Tier-IV Data Centre
• 100% BCP & DR Enabled
• Encrypted data movement
• Audited Application
60+ Corporate Clients Across Industries
State &
Central Acts
285+
Unique
Compliance
12,750+
Corporate
Events
1,000+ 1,500+
Acts Related
Documents
4,600+
Legal
Updates
3,000+
Subscribers
5,000+
Compliance
Executed
14,000+
Compliance
Filing Forms

7. Product
Features
Content
Management
Legislative
Monitoring
Real time
monitoring
Accountability
Audit
Management
Event
Management
- Central & State Acts covered
- Compliance related information -
Definitions, Exemptions, Criticalities,
Penalties, Link or Address for filing
- Documents, Forms & Notifications
- 200+ website surfed daily for
Act updates
- Real Time Updation of Acts
and Compliance
- Updates available by dates
and acts
1,000+ Corporate Events
- Pre & Post event compliance
generation
- Auto-allocate compliance
across organization
- Enables advisory for corporate
decision making.
Create auditor’s role
- Audit compliances by period /
department / location.
- “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.
#rethinkcompliance with LexComply

8. System Setup Process

9. Company Profile
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.
Team Behind
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; signed Ist corporate
• 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
• Solution Offerings: LexComply (Compliance Mgt Solution), Internal Financial Control System,
Litigation Management System, Acts Encyclopedia, www.registrationsandapprovals.com

10. Other GRC Solutions
Internal Financial Control
• Enable corporates to implement Internal
financial control across the organization
• Automate process of educating the team
about standard operating procedures
• Enables to track compliances and auditing of
the same.
• Focus on event (capital expenditure) and
ongoing based (operating expenditure)
compliances.
Court Case Management
• Enables corporates to manage and track
litigations
• Maintaining and track all documents and
other relevant materials in a single platform.
• Provision to upload documents
• Access can be provided to external users.
• Reminders, Escalations can be set.
• Works on a premise based server to ensure
confidentiality.
• Reports & Dashboards – Location wise,
Department Wise, Advocate Wise, Court-
wise, Status Wise, etc.

11. • 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
Application Hosting Environments
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

12. Our Clients & PartnersPartnersClients

13. Screen Shot – Landing Page

14. Screen Shot – Due Compliances View

15. Screen Shot – Acts Library

16. Screen Shot – Dashboard