Corporate Compliance Audit
We conduct corporate compliance audits to help companies identify statutory gaps, governance risks, documentation weaknesses, and compliance process issues before they become regulatory or transaction-level concerns.
Suitable for
Private companies seeking a voluntary compliance health check.
Regulatory coverage
Companies Act, 2013 / ROC / MCA compliance framework / Secretarial Standards / Corporate governance documentation requirements
Engagement type
Ongoing compliance and governance support
Typical deliverables
Corporate compliance audit checklist; ROC and filing status review
How this mandate is understood in practice.
A corporate compliance audit is a structured review of a company’s statutory compliance position, governance records, filings, approvals, registers, and internal compliance discipline.
Unlike a formal secretarial audit applicable to prescribed companies, this service is designed as a broader compliance health check for management, promoters, investors, and governance teams.
Compliance discipline protects governance credibility.
Many compliance issues remain hidden until due diligence, funding, audit, board review, or regulatory scrutiny begins.
A proactive compliance audit gives management a clear view of gaps, risks, corrective actions, and governance maturity.
Who needs this
Private companies seeking a voluntary compliance health check.
Promoter groups preparing for funding, due diligence, restructuring, or investor review.
Companies with historical filing gaps or weak statutory record maintenance.
Boards and management teams seeking independent compliance visibility.
Initial work areas
Review of ROC filings, statutory registers, board records, and corporate approvals.
Assessment of compliance gaps, documentation weaknesses, and governance risks.
Review of key Companies Act obligations and recurring compliance status.
Preparation of gap analysis report and corrective action roadmap.
What this service typically covers.
ROC & Filing Review
Review of annual filings and event-based ROC filings.
Assessment of filing consistency and statutory record alignment.
Identification of missed, delayed, or incomplete filings.
Review of MCA master data and company compliance status.
Governance Records Audit
Review of board and shareholder meeting records.
Assessment of resolutions, minutes, notices, and approval trails.
Review of statutory registers and corporate documentation.
Identification of gaps in governance record maintenance.
Compliance Gap Analysis
Identification of statutory compliance gaps.
Classification of issues by priority and risk level.
Assessment of corrective action requirements.
Preparation of management-level compliance observations.
Corrective Roadmap
Preparation of practical remediation plan.
Prioritization of filings, records, and governance actions.
Support in planning regularization steps.
Compliance process improvement recommendations.
Regulatory coverage
Companies Act, 2013
ROC / MCA compliance framework
Secretarial Standards
Corporate governance documentation requirements
Regulatory Matrix
Coordinated touchpoints across governance frameworks.
MCA
SEBI
FEMA
CSR
NCLT
RBI
Laws, regulations, and governance touchpoints.
Companies Act Compliance Framework
Annual and event-based filing obligations.
Board and shareholder approval documentation requirements.
Statutory registers and corporate record maintenance.
Director, shareholder, and governance compliance requirements.
Governance Review Framework
Review of compliance discipline and internal controls.
Assessment of documentation reliability.
Governance gap identification and risk classification.
Compliance readiness for audit, funding, and diligence.
Risk areas that usually create pressure for boards, management teams, and compliance owners.
Historical filings are completed but supporting records are incomplete.
Board minutes, resolutions, and ROC forms do not fully align.
Statutory registers are outdated or not maintained properly.
Management is unaware of old compliance gaps until due diligence begins.
Deliverables
Corporate compliance audit checklist
ROC and filing status review
Governance records review report
Compliance gap analysis report
Risk-prioritized corrective action roadmap
Management compliance health summary
A structured sequence from mandate framing to execution.
Step 1
Collect and review corporate records, filings, registers, and governance documents.
Step 2
Assess statutory compliance position and documentation quality.
Step 3
Identify gaps, delays, inconsistencies, and governance risks.
Step 4
Prepare audit observations with risk prioritization.
Step 5
Discuss corrective roadmap and implementation priorities with management.
Connected mandates often reviewed alongside this service.
Secretarial Audit
Independent secretarial audit support for companies requiring governance, statutory, board process, filing, register, disclosure, and compliance review under Section 204 of the Companies Act, 2013.
Secretarial Retainer & Compliance Management
Ongoing secretarial, governance, compliance calendar, board support, and regulatory management services for companies seeking continuous compliance oversight.
Statutory Registers & Records Management
Maintenance, review, reconstruction, and governance support for statutory registers, records, resolutions, and secretarial documentation under the Companies Act.
Due Diligence
Comprehensive legal, secretarial, corporate, regulatory and FEMA due diligence support for investments, acquisitions, strategic transactions, restructuring exercises and transaction readiness assessments.
FAQs
Is corporate compliance audit mandatory?
No. Corporate compliance audit is generally a voluntary governance health check, unlike formal statutory audits applicable to prescribed companies.
How is this different from secretarial audit?
Secretarial audit is a formal audit under a prescribed framework. Corporate compliance audit is a broader internal or management-focused review of compliance health, gaps, and governance readiness.
Is this useful before fundraising or due diligence?
Yes. A compliance audit helps identify and fix gaps before investors, lenders, or acquirers conduct due diligence.
Can you also help regularise gaps found during the audit?
Yes. The audit can be followed by corrective compliance support for filings, records, approvals, and governance documentation.