What is Legal Compliance Audit?

Legal compliance audit is a due diligence system to minimize business risk by verifying and identifying the gaps in regulatory compliances that are applicable to the company and drafting a course of action to keep the company on a steady compliant track

Why Legal Compliance Audit?

Legal audit makes you and your executive members familiar with the compliance requirements for your company as laid by the law.

  1. It shows the current status of compliance and gives you a step by approach to becoming a compliant organization
  2. Transparency in compliance is viewed positively by all stakeholders especially by institutional investors
  3. Prepares you (Management, Operational staff and Location heads) for any impromptu regulatory audits by the authorities

Compliance Calendar

Jul
20
Sat
all-day GST payment & File GSTR-3B
GST payment & File GSTR-3B
Jul 20 all-day
Monthly return of summary of outward and inward services to be filed by registered taxpayer on the basis of finalization of details of outward supplies and inward supplies along with the payment of amount of …
all-day Pay GST and File GSTR -3B
Pay GST and File GSTR -3B
Jul 20 all-day
Monthly return of summary of outward and inward services to be filed by registered taxpayer on the basis of finalization of details of outward supplies and inward supplies along with the payment of amount of …
Jul
21
Sun
all-day Shareholding Pattern – SEBI LODR
Shareholding Pattern – SEBI LODR
Jul 21 all-day
Description:- The listed entity shall submit to the stock exchange(s) a statement showing holding of securities and shareholding pattern separately for each class of securities, in the format specified by the Board on a quarterly …
all-day Statement Grievance Redressal Me...
Statement Grievance Redressal Me...
Jul 21 all-day
Description: The listed entity shall file with the recognized stock exchange(s) on a quarterly basis, within twenty one days from the end of each quarter, a statement giving the number of investor complaints pending at …
all-day Statement of Deviation or Variat...
Statement of Deviation or Variat...
Jul 21 all-day
Description:- The listed entity shall submit to the stock exchange the following statement(s) on a quarterly basis for public issue, rights issue, preferential issue etc. ,- (a) indicating deviations, if any, in the use of …

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Parameters Audited by us

Availability of licenses and registrations for various functions of the facility

100+ Licenses covered

Eg:Fire licenses,Building approval,Pollution consents,License to operate CT/Cathlab,license to operate a Blood Bank etc.

Timely submission of periodical returns to the relevant authorities

40+ Returns covered

Eg: Form V-Environment report,Water cess returns,Form D-Statement of bonus,MTP monthly statement etc.

Adequate and accurate maintenance of the records prescribed under the law

200+ records covered

Eg:Consent to perform MTP,Declaration in Form F to perform Ultrasound,Master records in the Blood Bank,expired drug records etc.

Appropriate Display of posters, licenses and signage's as mandated under the statutes

35+ Notices and warnings to be displayed checked

Eg:Notice under gratuity Act,Notification of minimum wages,Caution to pregnant women entering X-Ray room,No smoking sign near gas cylinders etc.

Norms should be followed while offering services to the Patients and in maintaining the infrastructure

600+ procedural day-to-day compliances checked

Eg:Conduct of periodical fire drill,construction of proper storage sheds for Biomedical waste,intimation of changes in technicians in pharmacy etc.

Statutory updates required to be made to the website maintained by the organization

10+ requirements for updation checked

Eg:Uploading authorization committee decisions on transplant,internal complaints committee members list under sexual harassment laws

  • A legal audit is always conducted by an auditor with Proven experience and success in auditing companies in similar industries
  • A Comprehensive audit framework specifically designed for the each industry to effectively identify and mitigate compliance gaps
  • Flexibility to scale up coverage and frequency of audit in line with company’s expansion plans and requirements
  • Simplified cost structure with per-location pricing provides predictability in cash-outflow for the company

Uniqueness of our Approach

Every Little thought leads to a great idea

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