Regulatory Compliance Audits
Stay ahead of evolving legal frameworks. We specialize in Indian and International regulatory audits for BFSI, Insurance, and FinTech sectors.
Mandatory & Essential
Regulatory compliance is not optional. It is a legal mandate that ensures your business stays licensed and operational.
What is Regulatory Compliance?
Regulatory compliance refers to the set of legal requirements and industry-specific regulations that organizations must follow to operate within a particular jurisdiction or sector. In India, this includes mandates from bodies like RBI, IRDAI, SEBI, and compliance with the DPDP Act.
Why is it Critical?
Operating License
Failure to comply can result in the suspension of your business license.
Penalty Avoidance
Regulatory bodies can impose massive fines for non-compliance and data breaches.
Governance & Integrity
Builds a culture of transparency and accountability from the top down.
National Security
Ensures sensitive economic and personal data remains protected within borders.
The Audit Lifecycle
We handle the entire regulatory journey, from initial assessment to final filing.
Regulatory Assessment
Analyzing which regulations apply to your industry, geography, and data types.
Compliance Mapping
Mapping existing controls to regulatory requirements to identify compliance gaps.
Remediation
Fixing identified gaps through policy updates, technical controls, and employee training.
Final Audit & Filing
Conducting final audits and assisting with necessary regulatory filings and documentation.
Our Regulatory Expertise
Specialized audit and compliance solutions for highly regulated sectors.
IS Audit (RBI)
Mandatory information security audits for banking and non-banking financial companies (NBFCs) as per RBI guidelines.
IRDAI Compliance Audit
Comprehensive audit framework for the insurance sector to ensure data protection and regulatory adherence.
SEBI Compliance Audit
Security audits for stock brokers, depository participants, and other market intermediaries to protect investor interests.
CERT-In Security Audit
Audit by CERT-In empaneled auditors to certify the security of government and critical infrastructure applications.
SAR Compliance Audit
System Audit Report (SAR) for payments system operators (PSOs) as mandated by the Reserve Bank of India.
DPDP Act 2023
Compliance with India's Digital Personal Data Protection Act, focusing on data fiduciary responsibilities and user rights.
CICRA
Compliance with Credit Information Companies (Regulation) Act to ensure security of credit information.
IT General Controls
Ensuring the integrity and reliability of data through robust IT internal controls and governance frameworks.
DLA Audit
Data Localization Audits to ensure that sensitive financial and personal data is stored as per local regulations.
Confused about which regulations apply to you?
Our regulatory experts are here to help you navigate the complex Indian legal landscape.
Talk to our Compliance Expert