Overview
As a business grows, its regulatory footprint grows with it — new filings, new approvals, new thresholds crossed. A regulatory risk assessment reviews your current position against what the law actually requires and flags gaps before they turn into penalties or blocked transactions.
We review your corporate, FEMA and sector-specific compliance, prioritise the risks by exposure, and give you a practical remediation plan — often ahead of a funding round, audit or expansion.
What's included
- Companies Act & FEMA compliance review
- Sector-specific regulation check
- Risk prioritisation
- Remediation roadmap
How we approach it
Frequently asked questions
When should a company do a risk assessment?
Ahead of a funding round, before expanding into a new state or sector, or simply as a periodic health check — earlier is always cheaper than remediation.
Is this the same as a statutory audit?
No — a statutory audit examines financial statements; a regulatory risk assessment examines legal and compliance exposure across company law and FEMA.
Can this feed into due diligence preparation?
Yes — it is often the first step before sell-side due diligence for a fundraise or sale.
How is this different from a secretarial audit?
A secretarial audit is a formal, often mandatory review producing Form MR-3 for defined periods; a regulatory risk assessment is a broader, flexible review that can be scoped to specific triggers like an upcoming fundraise.
Does this cover tax and labour law compliance too?
Our core coverage is company law and FEMA; for tax and labour law we coordinate with your CA or labour law counsel to give you a complete picture.
How often should a growing company repeat this assessment?
Annually as a health check, plus specifically before any major event — a funding round, entering a new state, or a significant change in business activity.
Talk to us about Regulatory Risk Assessment.
Rashmi K.S. & Associates · Practising Company Secretaries · Balewadi, Pune