Regulatory and Compliance Services

Regulatory and Compliance Services – Overview

In an increasingly complex global business environment, regulatory and compliance services are essential for sustainable growth. Companies today face diverse legal, financial, and ethical obligations including corporate governance laws, tax regulations, labor laws, data protection requirements, environmental norms, and international compliance standards.

Non-compliance can lead to heavy penalties, reputation loss, and operational disruption. Regulatory and Compliance Services help organizations:

• Operate within local and international legal frameworks
• Stay ahead of evolving regulatory landscapes
• Build a culture of transparency and accountability
• Safeguard employees, stakeholders, and business continuity

Eligibility Criteria

1. Entity Type

• Private/Public Limited Companies – MCA & SEBI compliance
• LLPs & Partnerships – LLP Act & tax obligations
• Startups/SMEs – Mandatory tax, labor & statutory filings
• MNCs – Must comply with GDPR, FCPA, OECD standards

2. Sector-Specific Eligibility

• Banking/Finance – RBI, SEBI, IRDAI, AML/KYC compliance
• Healthcare – FDA, CDSCO, HIPAA requirements
• IT/Tech – Data protection, cybersecurity, IP laws
• Manufacturing/Export – EXIM, labor & environmental norms

3. Global Applicability

• OECD tax standards
• GDPR data protection
• FATCA/CRS global reporting

Types of Regulatory and Compliance Services

1. Corporate & Secretarial Compliance

• MCA/ROC filings
• Statutory registers & minutes
• Corporate governance compliance

2. Tax & Financial Compliance

• Corporate tax & GST filings
• Transfer pricing regulations
• BEPS, FATCA & global reporting standards

3. Employment & Labour Compliance

• Payroll, PF, ESI, gratuity compliance
• Health & safety laws
• Contract labor regulations

4. AML & KYC Compliance

• RBI/SEBI AML frameworks
• Suspicious transaction monitoring

5. Data Protection & Cybersecurity

• GDPR, CCPA, Digital Data Protection Act
• Cyber audits & IT governance

6. Industry-Specific Regulations

• Banking – RBI, IRDAI, SEBI
• Healthcare – FDA, CDSCO, HIPAA
• Telecom – TRAI
• Environment – Pollution control norms

7. International Compliance

• FCPA, UK Bribery Act
• Trade sanctions & export controls
• Anti-bribery frameworks

Advantages of Regulatory and Compliance Services

• Avoidance of penalties & legal disputes
• Enhances trust with investors & customers
• Strengthens operational controls & monitoring
• Improves access to domestic & global markets
• Mitigation of fraud, corruption & misconduct
• Ensures sustainable organizational growth

Requirements for Regulatory and Compliance Services

• Corporate governance framework
• Compliance & risk management policies
• Strong internal control systems
• Regulatory registrations – GST, PF, ESI, IEC etc.
• Employee training & compliance awareness
• Technology-driven compliance systems

Documents Required

• Certificate of Incorporation & MOA/AOA
• Board resolutions & meeting minutes
• Audited financial statements
• Tax returns & GST filings
• Labour law registers (PF, ESI, gratuity)
• KYC/AML documentation
• Data protection & cybersecurity records
• Environmental/industry licenses

Process of Regulatory and Compliance Services

Step 1: Regulatory Mapping

Identify applicable laws based on industry & jurisdiction.

Step 2: Gap Analysis

Evaluate existing frameworks and identify non-compliance risks.

Step 3: Policy Framework Development

Draft compliance manuals, conduct codes & governance structures.

Step 4: Implementation of Controls

Establish internal approvals, reporting systems & control mechanisms.

Step 5: Technology Integration

Deploy compliance automation tools & monitoring software.

Step 6: Monitoring & Reporting

Regular compliance checks, statutory filings & reporting.

Step 7: Audit & Assurance

Conduct internal & external audits for regulatory verification.

Step 8: Training & Awareness

Employee training on laws & compliance policies.

Step 9: Corrective Actions

Fix non-compliance issues immediately.

Step 10: Continuous Improvement

Update compliance frameworks with changing laws.

Why Choose Subrudhi for Regulatory and Compliance Services

Subrudhi provides end-to-end regulatory and compliance support, helping businesses maintain complete legal and statutory adherence. Our expert team ensures your business stays compliant with evolving laws and regulatory standards.

• Dedicated compliance experts & legal professionals
• Industry-specific compliance frameworks
• Accurate & timely statutory filings
• Technology-driven monitoring systems
• End-to-end entity management & documentation

Frequently Asked Questions