With the never-ending onslaught of regulatory change, having a specialist expert compliance resource you can depend upon is a valuable asset for regulated firms.

The cost of regulatory failings is not just limited to fines that your regulator may impose.

The reputational damage of a failure in your control framework can cause irreparable harm to your Firm.

Our experienced team of consultants can provide technical advice and guidance on a range of regulatory risk areas including:

  • Assurance Reviews – undertaking ad-hoc or theme based reviews of your control framework and making recommendations for enhancements to your policies and procedures
  • Independent Compliance Monitoring – we can provide a clear auditable view on the adequacy of your compliance framework and performance against internal and external requirements, helping you to demonstrate adherence to regulatory requirements
  • Compliance Support and ad-hoc advice – including making sure that your Firm is fully up to date with the latest RBI Circulars, Instructions and Regulations/Circulars issued by SEBI and Foreign Exchange Management Act requirements
  • Anti-Money Laundering (AML), Combating Financing of Terrorism (CFT) and Anti-Bribery & Corruption (ABC) – helping you to put in place AML, CFT and ABC policies and procedures to protect your Firm and ensure compliance with relevant rules and regulations
  • Risk Management – advising you on the framework to be adopted by your Firm for managing risks including the procedures for risk assessment, risk-mitigating measures

Why you should work with CCL

We were the first dedicated compliance consultancy firm to set up in Mumbai and our team is led by senior practitioners from the Reserve Bank of India (RBI) and one of the largest SEBI regulated banking entities in India.

Our compliance consultants understand that compliance is not about business prevention. CCL’s value-add is that we provide solutions to compliance issues that enable the business to meet its goals and objectives whilst satisfying all applicable regulatory requirements.

For pragmatic, expert compliance advice and guidance, contact our team in Mumbai to discuss your Firm's requirements.

We have a dedicated team of experienced compliance consultants who can provide expert assurance and peace of mind. Get in touch to see how we can help your Firm.